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.
S••••• R••••• E••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 15, 2017 · Lisbon Falls, Me
- I••••• F•••••••• C••••••••• formerMay 23, 2016 to Feb 21, 2017 · Lewiston, Me
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 30, 2015 · South Portland, Me
- C••••• I••••••••• S••••••• L•• formerApr 7, 2010 to Jan 21, 2014 · Winthrop, Me
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Feb 17, 2010 · Waterville, Me
- C••••• I••••••••• S••••••• L•• formerJun 4, 2002 to Nov 17, 2009 · Portland, Me
- I••••• F•••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 21, 2017, registered Feb 15, 2017 (-6 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to I••••• F•••••••• C•••••••••left Nov 30, 2015, registered May 23, 2016 (175 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- T• W••••• M••••••••• S••••••• I••• to C••••• I••••••••• S••••••• L••left Feb 17, 2010, registered Apr 7, 2010 (49 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address