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.
R•••••• M••••• N••••••••
- E•••• F•••••••• S••••••••• independent RIA currentsince Feb 15, 2019 · B•••••, Me
- L•• F•••••••• L•• BD affiliatedApr 10, 2008 to Feb 6, 2019 · B•••••, Me
- K•• I••••••••• S••••••• L•• BD affiliatedDec 8, 2006 to Mar 24, 2008 · Portland, Me
- B••••• S••••••••• I••• unclassifiedJun 6, 2005 to Dec 1, 2006 · Portland, Me
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 14, 2004 to Jun 16, 2005 · B•••••, Me
- B••••• S••••••••• I••• unclassifiedFeb 28, 2003 to Sep 10, 2004 · Portland, Me
- L•• F•••••••• L•• to E•••• F•••••••• S•••••••••left Feb 6, 2019, registered Feb 15, 2019 (9 days) · Other
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left Mar 24, 2008, registered Apr 10, 2008 (17 days) · Other
- B••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Dec 1, 2006, registered Dec 8, 2006 (7 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to B••••• S••••••••• I•••left Jun 16, 2005, registered Jun 6, 2005 (-10 days) · Other
- B••••• S••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Sep 10, 2004, registered Sep 14, 2004 (4 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address