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.
R•••••• S•••••• B••••••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Feb 21, 2023 · Bluffton, Sc
- M••••• S•••••• wirehouseJan 8, 2010 to Mar 8, 2023 · Hanover, Nh
- C••••• A•••• M••••••••• L•• mixed wealthJun 7, 2004 to Jan 14, 2010 · Hanover, Nh
- C••••• A•• C••••••• L••• unclassifiedMay 6, 2002 to Jun 3, 2004 · Hanover, Nh
- M••••• S•••••• to S•••••• C•••••• A••••••• L••left Mar 8, 2023, registered Feb 21, 2023 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• A•••• M••••••••• L•• to M••••• S••••••left Jan 14, 2010, registered Jan 8, 2010 (-6 days) · Other
- C••••• A•• C••••••• L••• to C••••• A•••• M••••••••• L••left Jun 3, 2004, registered Jun 7, 2004 (4 days) · Other
- R•••••• S•••••• B•••••••• left M••••• S•••••• for S•••••• C•••••• A••••••• L•• (registered 2023-02-21)Mar 8, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address