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••• L•• L•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 2, 2007 · Somersworth, Nh
- N•••••••• P••••••• A••••••••• I••• independent RIAJul 22, 2004 to Mar 4, 2015 · Portsmouth, Nh
- M••••• S•••••• C••••••••• unclassifiedNov 25, 2003 to Sep 29, 2004 · Portsmouth, Nh
- V••••••• I••••••••• A•••••••• I••• unclassifiedMar 3, 1999 to Nov 13, 2003 · Portsmouth, Nh
- N•••••••• P••••••• A••••••••• I••• to L•• F•••••••• L••left Mar 4, 2015, registered Aug 2, 2007 (-2771 days) · Other
- M••••• S•••••• C••••••••• to N•••••••• P••••••• A••••••••• I•••left Sep 29, 2004, registered Jul 22, 2004 (-69 days) · Other
- V••••••• I••••••••• A•••••••• I••• to M••••• S•••••• C•••••••••left Nov 13, 2003, registered Nov 25, 2003 (12 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address