RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
K•••• R••••• S•••••••
- W••••• W••••• independent RIA currentsince Nov 16, 2025 · Lockport, Ny
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2019 · Winslow, Me
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2014 to May 2, 2019 · Asheboro, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 1, 2009 to Jun 16, 2014 · Winslow, Me
- W•••• F•••• A••••••• wirehouseMar 2, 2007 to Mar 27, 2009 · Winslow, Me
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 5, 2007 · Gardiner, Me
- Q•••• • R•••••• I••• unclassifiedMar 25, 2004 to Oct 20, 2004 · Waterville, Me
- K•••••• C•••••• M•••••• I••• unclassifiedMay 14, 1999 to Mar 24, 2004 · Waterville, Me
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 2, 2019, registered May 1, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Jun 16, 2014, registered Jun 12, 2014 (-4 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 27, 2009, registered Apr 1, 2009 (5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 5, 2007, registered Mar 2, 2007 (-3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- K•••••• C•••••• M•••••• I••• to Q•••• • R•••••• I•••left Mar 24, 2004, registered Mar 25, 2004 (1 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address