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••• S••••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 14, 2007 · Bedford, Nh
- N•••••••• P••••••• A••••••••• I••• independent RIASep 23, 2004 to Apr 4, 2017 · Bedford, Nh
- M••••• S•••••• C••••••••• unclassifiedJan 14, 2004 to Oct 11, 2004 · Bedford, Nh
- V••••••• I••••••••• A•••••••• I••• unclassifiedSep 11, 2003 to Nov 13, 2003 · Manchester, Nh
- N•••••••• P••••••• A••••••••• I••• to L•• F•••••••• L••left Apr 4, 2017, registered Aug 14, 2007 (-3521 days) · Other · moved with a team
- M••••• S•••••• C••••••••• to N•••••••• P••••••• A••••••••• I•••left Oct 11, 2004, registered Sep 23, 2004 (-18 days) · Other
- V••••••• I••••••••• A•••••••• I••• to M••••• S•••••• C•••••••••left Nov 13, 2003, registered Jan 14, 2004 (62 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