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.
J•••••• D•••• S••••••
- O•••••• P•••• A•••• M••••••••• L•• state registered currentsince Apr 24, 2023 · Portsmouth, Nh
- E••••• P••••••• O• N•• E••••••• L•• formerJun 27, 2019 to May 17, 2023 · Portsmouth, Nh
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to May 22, 2019 · Derry, Nh
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 19, 2012 · Hollis, Nh
- I••• S••••••••• I••• unclassifiedFeb 2, 2005 to May 27, 2008 · Derry, Nh
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Feb 4, 2005 · Portsmouth, Nh
- P••••••••• E••••• G••••• L•• unclassifiedJun 3, 1998 to Jul 1, 2003 · Portsmouth, Nh
- E••••• P••••••• O• N•• E••••••• L•• to O•••••• P•••• A•••• M••••••••• L••left May 17, 2023, registered Apr 24, 2023 (-23 days) · Other
- S•••••••• S••••••••• to E••••• P••••••• O• N•• E••••••• L••left May 22, 2019, registered Jun 27, 2019 (36 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to I••• S••••••••• I•••left Feb 4, 2005, registered Feb 2, 2005 (-2 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- J•••••• D•••• S•••••• left E••••• P••••••• O• N•• E••••••• L•• for O•••••• P•••• A•••• M••••••••• L•• (registered 2023-04-24)May 17, 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address