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.
B•••• H•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Merrimack, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 16, 2021 to Mar 31, 2025 · Merrimack, Nh
- V••••• I••••••••• A•••••••• L•• asset managerApr 3, 2012 to Jul 20, 2020 · Hartford, Ct
- J••• H•••••• I••••••••• M••••••••• L•• asset managerSep 11, 2003 to Nov 24, 2003 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerSep 11, 2003 to Nov 24, 2003 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- V••••• I••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 20, 2020, registered Dec 16, 2021 (514 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Nov 24, 2003, registered Sep 11, 2003 (-74 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to V••••• I••••••••• A•••••••• L••left Nov 24, 2003, registered Apr 3, 2012 (3053 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address