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.
G•••• R•• G••••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Littleton, Nh
- S•• I••••••••• A•••••••• I••• formerAug 24, 2018 to May 1, 2025 · Littleton, Nh
- N••• F•••••••• G••••• I••• formerJul 29, 2003 to Aug 29, 2018 · Littleton, Nh
- S••••• S••••••••• C••••••••• unclassifiedAug 18, 1997 to Aug 18, 2003 · Littleton, Nh
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S•• I••••••••• A•••••••• I•••left Aug 29, 2018, registered Aug 24, 2018 (-5 days) · RIA to affiliated broker-dealer or bank
- S••••• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••left Aug 18, 2003, registered Jul 29, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address