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.
G••• M•••••• H••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Merrimack, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 1, 2019 to Mar 31, 2025 · Merrimack, Nh
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 30, 2018 to May 23, 2019 · Burlington, Ma
- E•••• P•••• I••••••••• A•••••••• I••• state registeredMay 1, 2015 to Dec 26, 2018 · Bedford, Nh
- L•• F•••••••• L•• BD affiliatedJan 14, 2015 to Jun 5, 2018 · Bedford, Nh
- S•••••••• A••••••• L•• national BDApr 6, 2012 to Jan 28, 2013 · Merrimack, Nh
- 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•••• F•••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 23, 2019, registered Jul 1, 2019 (39 days) · Affiliated broker-dealer or bank to another
- E•••• P•••• I••••••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Dec 26, 2018, registered May 30, 2018 (-210 days) · Other
- L•• F•••••••• L•• to E•••• P•••• I••••••••• A•••••••• I•••left Jun 5, 2018, registered May 1, 2015 (-1131 days) · RIA to a state-registered adviser
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jan 28, 2013, registered Jan 14, 2015 (716 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