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.
M••• T••••• B••••••••
- A•••••• F••••••••• I••• independent RIA currentsince Dec 3, 2020 · Wichita, Ks
- A•••••••• C•••••• M••••••••• independent RIAMar 28, 2016 to Oct 11, 2019 · Andover, Ks
- A••••••• A••••••• S••••••• formerNov 11, 2010 to Mar 29, 2016 · Andover, Ks
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAFeb 4, 2009 to Nov 1, 2010 · Hampden, Me
- M•• A•••• M••••••••• L•• formerAug 7, 2008 to Nov 6, 2008 · Tewksbury, Ma
- C•••••• W••••• A••••••• G•••• independent RIAFeb 25, 2008 to Apr 11, 2008 · Nashua, Nh
- C••••••• S••••••••• I••• BD affiliatedAug 30, 2007 to Feb 8, 2008 · Waltham, Ma
- F••••• I••••••••• independent RIANov 6, 2006 to Mar 27, 2007 · Hampton, Nh
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedSep 13, 2004 to Apr 19, 2006 · Bedford, Nh
- A•••••••• C•••••• M••••••••• to A•••••• F••••••••• I•••left Oct 11, 2019, registered Dec 3, 2020 (419 days) · RIA to RIA
- A••••••• A••••••• S••••••• to A•••••••• C•••••• M•••••••••left Mar 29, 2016, registered Mar 28, 2016 (-1 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to A••••••• A••••••• S•••••••left Nov 1, 2010, registered Nov 11, 2010 (10 days) · Other
- M•• A•••• M••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Nov 6, 2008, registered Feb 4, 2009 (90 days) · Other
- C•••••• W••••• A••••••• G•••• to M•• A•••• M••••••••• L••left Apr 11, 2008, registered Aug 7, 2008 (118 days) · Other
- C••••••• S••••••••• I••• to C•••••• W••••• A••••••• G••••left Feb 8, 2008, registered Feb 25, 2008 (17 days) · Other
- F••••• I••••••••• to C••••••• S••••••••• I•••left Mar 27, 2007, registered Aug 30, 2007 (156 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to F••••• I•••••••••left Apr 19, 2006, registered Nov 6, 2006 (201 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address