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.
- L•• F•••••••• L•• BD affiliated currentsince Mar 28, 2024 · Bangor, Me
- A••••••• F•••••••• G••••• L•• formerJun 17, 2010 to Jul 2, 2024 · Bangor, Me
- R•• C•••••• M••••••• L•• national BDJul 30, 2008 to Jun 10, 2010 · Bangor, Me
- A••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Jul 2, 2024, registered Mar 28, 2024 (-96 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•• C•••••• M••••••• L•• to A••••••• F•••••••• G••••• L••left Jun 10, 2010, registered Jun 17, 2010 (7 days) · Other
- D•••• A•••• K•••• left A••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-03-28)Jul 2, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address