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.
W•••••• F• C•••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 30, 2023 · Portsmouth, Nh
- V••••••• W••••• M••••••••• formerOct 15, 2012 to Jul 19, 2023 · Portsmouth, Nh
- P••••••• S••••••••• I••• formerApr 21, 2011 to Sep 17, 2012 · Manchester, Nh
- C••••••••• S••••••••• L••• unclassifiedSep 8, 2005 to Oct 28, 2009 · Manchester, Nh
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 2, 2005 · Bethesda, Md
- P••••••••• E••••• G••••• L•• unclassifiedDec 12, 2001 to Jul 1, 2003 · Bethesda, Md
- V••••••• W••••• M••••••••• to H•••••••• A•••••••• L••left Jul 19, 2023, registered Jun 30, 2023 (-19 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P••••••• S••••••••• I••• to V••••••• W••••• M•••••••••left Sep 17, 2012, registered Oct 15, 2012 (28 days) · Other
- C••••••••• S••••••••• L••• to P••••••• S••••••••• I•••left Oct 28, 2009, registered Apr 21, 2011 (540 days) · Other
- W•••• F•••• A••••••• to C••••••••• S••••••••• L•••left Mar 2, 2005, registered Sep 8, 2005 (190 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- W•••••• F• C••••••• left V••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-06-30)Jul 19, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address