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••• N•••••• P•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 25, 2018 · Lewiston, Me
- T•• P•••••• F•••••••• G••••• L•• independent RIAOct 3, 2014 to Jun 29, 2018 · Lewiston, Me
- M•••••• independent RIAJun 6, 2011 to Jun 21, 2011 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerSep 3, 2010 to Nov 7, 2013 · Boston, Ma
- C•••••••• F•••••••• G•••• A••••••• formerJun 18, 2009 to Sep 8, 2010 · Auburn, Me
- I••••• F•••••••• C••••••••• formerApr 10, 2002 to May 27, 2009 · Lewiston, Me
- T•• P•••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Jun 29, 2018, registered Jun 25, 2018 (-4 days) · RIA to RIA · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M••••••left Nov 7, 2013, registered Jun 6, 2011 (-885 days) · Other
- M•••••• to T•• P•••••• F•••••••• G••••• L••left Jun 21, 2011, registered Oct 3, 2014 (1200 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to N•• E•••••• S••••••••• C•••••••••left Sep 8, 2010, registered Sep 3, 2010 (-5 days) · Other
- I••••• F•••••••• C••••••••• to C•••••••• F•••••••• G•••• A•••••••left May 27, 2009, registered Jun 18, 2009 (22 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address