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.
E••• B••••• L•••
- B••••• G••••• A•••• M••••••••• BD affiliated currentsince Oct 13, 2014 · Falmouth, Me
- C••••••• • C••• I••• formerNov 10, 2004 to Oct 9, 2014 · Portland, Me
- F•••• A••••• S••••••••• I••• formerNov 25, 2002 to Nov 19, 2004 · Portland, Me
- M••••• S•••••• D• I••• unclassifiedJun 20, 2002 to Dec 5, 2002 · Greenwich, Ct
- C••••••• • C••• I••• to B••••• G••••• A•••• M•••••••••left Oct 9, 2014, registered Oct 13, 2014 (4 days) · Other
- F•••• A••••• S••••••••• I••• to C••••••• • C••• I•••left Nov 19, 2004, registered Nov 10, 2004 (-9 days) · Other
- M••••• S•••••• D• I••• to F•••• A••••• S••••••••• I•••left Dec 5, 2002, registered Nov 25, 2002 (-10 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