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.
J••• F••••• R••••
- N•••••••• P••••••• A••••••••• I••• independent RIA currentsince Jun 26, 2019 · Bedford, Nh
- L•• F•••••••• L•• BD affiliated currentsince Jun 20, 2019 · Manchester, Nh
- S•••••••• F••••••••• I••• formerJun 8, 2015 to Jun 24, 2019 · Bedford, Nh
- Q•••••• A•••• M••••••••• I••• formerJul 1, 2014 to Jun 10, 2015 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 17, 2006 to Jul 2, 2014 · Manchester, Nh
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jun 24, 2019, registered Jun 20, 2019 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- Q•••••• A•••• M••••••••• I••• to S•••••••• F••••••••• I•••left Jun 10, 2015, registered Jun 8, 2015 (-2 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Jul 2, 2014, registered Jul 1, 2014 (-1 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address