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.
M•••••• S•••••• T••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 10, 2020 · Bangor, Me
- F•••••••• A•••••••• I••••••••• M••••••••• formerNov 23, 2011 to Aug 11, 2020 · Olympia, Wa
- N•• A•••••••• I••• unclassifiedJun 5, 2009 to Dec 1, 2010 · Portland, Me
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 17, 2005 to Jun 8, 2009 · Portland, Me
- M•••• W••••• M••••••••• independent RIANov 20, 2001 to Jun 20, 2005 · Bangor, Me
- F•••••••• A•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 11, 2020, registered Aug 10, 2020 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N•• A•••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Dec 1, 2010, registered Nov 23, 2011 (357 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• A•••••••• I•••left Jun 8, 2009, registered Jun 5, 2009 (-3 days) · Other
- M•••• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 20, 2005, registered Jun 17, 2005 (-3 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address