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•••• M• R••••••
- E•••• F•••••••• S••••••••• i••••••••• wealth currentsince Jan 24, 2023 · B•••••, Me
- A••••••• I••••••••• S••••••••• G••••• L•• i••••••••• wealthJul 13, 2022 to Jan 6, 2023 · Brewer, Me
- K•• I••••••••• S••••••• L•• BD affiliatedApr 27, 2012 to Jul 6, 2022 · Portland, Me
- W•••• F•••• A••••••• wirehouseMar 9, 2009 to Nov 19, 2010 · B•••••, Me
- L•• F•••••••• L•• BD affiliatedJan 23, 2007 to Mar 11, 2009 · Biddeford, Me
- B••••• S••••••••• I••• unclassifiedFeb 28, 2003 to Mar 29, 2007 · Portland, Me
- A••••••• I••••••••• S••••••••• G••••• L•• to E•••• F•••••••• S•••••••••left Jan 6, 2023, registered Jan 24, 2023 (18 days) · RIA to RIA
- K•• I••••••••• S••••••• L•• to A••••••• I••••••••• S••••••••• G••••• L••left Jul 6, 2022, registered Jul 13, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••left Nov 19, 2010, registered Apr 27, 2012 (525 days) · Other
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 11, 2009, registered Mar 9, 2009 (-2 days) · Other
- B••••• S••••••••• I••• to L•• F•••••••• L••left Mar 29, 2007, registered Jan 23, 2007 (-65 days) · Other
- D•••• M• R•••••• left A••••••• I••••••••• S••••••••• G••••• L•• for E•••• F•••••••• S••••••••• (registered 2023-01-24)Jan 6, 2023 · Advisor changed firm · fact
- D•••• M• R•••••• left K•• I••••••••• S••••••• L•• for A••••••• I••••••••• S••••••••• G••••• L•• (registered 2022-07-13)Jul 6, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address