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.
S•••••• A• L••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Manchester, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 12, 2020 to Mar 31, 2025 · Merrimack, Nh
- H••••• M••• I••••••••• I••• no RAUMJan 11, 2017 to Jun 29, 2020 · Concord, Nh
- M•• F•••••••• S•••••••• I••• formerAug 21, 2008 to Mar 10, 2010 · Manchester, Nh
- M•• F•••••••• S•••••••• I••• formerMay 15, 2006 to Jun 25, 2008 · Westboro, 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
- H••••• M••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 29, 2020, registered Aug 12, 2020 (44 days) · Other
- M•• F•••••••• S•••••••• I••• to H••••• M••• I••••••••• I•••left Mar 10, 2010, registered Jan 11, 2017 (2499 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address