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.
D•••• T•••••• C•••••
- M••••• S•••••• wirehouse currentsince Dec 1, 2023 · Hanover, Nh
- U•• F•••••••• S••••••• I••• wirehouseSep 6, 2012 to Dec 4, 2023 · South Burlington, Vt
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 6, 2012 · Colchester, Vt
- M••••• S•••••• • C•• L•• unclassifiedAug 10, 2007 to Jun 1, 2009 · Burlington, Vt
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2000 to Aug 23, 2007 · Burlington, Vt
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Dec 4, 2023, registered Dec 1, 2023 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 6, 2012, registered Sep 6, 2012 (0 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 23, 2007, registered Aug 10, 2007 (-13 days) · Other
- D•••• T•••••• C••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2023-12-01)Dec 4, 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address