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.
C•••••• C•••••• L••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 7, 2016 · Pitman, Nj
- N•••••••• P••••••• A••••••••• I••• independent RIAJan 29, 2009 to Nov 10, 2016 · Meredith, Nh
- L•• F•••••••• L•• BD affiliatedJan 20, 2009 to Nov 22, 2016 · Meredith, Nh
- T•• W••••• M••••••••• G••••• L•• unclassifiedApr 2, 2008 to Apr 28, 2009 · Portsmouth, Nh
- C••••••••• F•••••••• N•••••• national BDAug 14, 2003 to Jan 21, 2009 · Portsmouth, Nh
- 1••• C•••••• M••••••••• C•••••• unclassifiedApr 3, 1998 to Sep 3, 2003 · Newton, Ma
- L•• F•••••••• L•• to N•••••••• P••••••• A••••••••• I•••left Nov 22, 2016, registered Jan 29, 2009 (-2854 days) · Other
- N•••••••• P••••••• A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 10, 2016, registered Nov 7, 2016 (-3 days) · Other
- T•• W••••• M••••••••• G••••• L•• to L•• F•••••••• L••left Apr 28, 2009, registered Jan 20, 2009 (-98 days) · Other
- C••••••••• F•••••••• N•••••• to T•• W••••• M••••••••• G••••• L••left Jan 21, 2009, registered Apr 2, 2008 (-294 days) · Other
- 1••• C•••••• M••••••••• C•••••• to C••••••••• F•••••••• N••••••left Sep 3, 2003, registered Aug 14, 2003 (-20 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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address