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.
D•••••• M•••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince May 16, 2024 · San Diego, Ca
- B••••• W••••• M••••••••• L•• formerJun 9, 2005 to Oct 31, 2006 · Beddford, Nh
- O•••• F•• I••• formerMay 9, 2005 to May 17, 2024 · Bedford, Nh
- S•••••••• A••••••• L•• national BDAug 1, 2003 to Apr 25, 2005 · Merrimack, Nh
- O•••• F•• I••• to B••••• W••••• M••••••••• L••left May 17, 2024, registered Jun 9, 2005 (-6917 days) · Other
- B••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Oct 31, 2006, registered May 16, 2024 (6407 days) · Other
- S•••••••• A••••••• L•• to O•••• F•• I•••left Apr 25, 2005, registered May 9, 2005 (14 days) · Other
- D•••••• M•••••• C••••• left O•••• F•• I••• for B••••• W••••• M••••••••• L•• (registered 2005-06-09)May 17, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address