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.
T•• A••• G••••••
- L•• E••••••••• L•• BD affiliated currentsince Dec 3, 2025 · Bucksport, Me
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 3, 2025 · Bucksport, Me
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Bucksport, Me
- M•••••• independent RIAJan 2, 2014 to Apr 6, 2018 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerDec 16, 2013 to Jan 2, 2015 · Boston, Ma
- L•• F•••••••• L•• BD affiliatedJan 18, 2005 to Dec 18, 2013 · Bucksport, Me
- M•• I•••••••• S•••••••• L•• to L•• E••••••••• L••left Dec 3, 2025, registered Dec 3, 2025 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• F•••••••• S•••••••• I•••left Apr 6, 2018, registered Jan 2, 2015 (-1190 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Jan 2, 2014 (-365 days) · Other · moved with a team
- L•• F•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Dec 18, 2013, registered Dec 16, 2013 (-2 days) · Other
- T•• A••• G•••••• left M•• I•••••••• S•••••••• L•• for L•• E••••••••• L•• (registered 2025-12-03)Dec 3, 2025 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address