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•••••••• M•••••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jun 10, 2024 · New Boston, Nh
- O•••• F•• I••• formerNov 28, 2018 to Mar 18, 2022 · Concord, Nh
- C••••••••• F•••••••• N•••••• national BDApr 13, 2018 to Nov 13, 2018 · Waltham, Ma
- S••••••• I••••••••• I••• formerApr 22, 2016 to Apr 9, 2018 · Boston, Ma
- O•••• F•• I••• formerMar 17, 2011 to Apr 19, 2016 · Concord, Nh
- E•••••• P•••• A••••••• I••• unclassifiedSep 26, 2003 to Feb 3, 2004
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 2002 to Jan 4, 2003 · Bedford, Nh
- O•••• F•• I••• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 18, 2022, registered Jun 10, 2024 (815 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to O•••• F•• I•••left Nov 13, 2018, registered Nov 28, 2018 (15 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Apr 9, 2018, registered Apr 13, 2018 (4 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to S••••••• I••••••••• I•••left Apr 19, 2016, registered Apr 22, 2016 (3 days) · Other · moved with a team
- E•••••• P•••• A••••••• I••• to O•••• F•• I•••left Feb 3, 2004, registered Mar 17, 2011 (2599 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••••• P•••• A••••••• I•••left Jan 4, 2003, registered Sep 26, 2003 (265 days) · Other
- M•••••••• M••••••• left O•••• F•• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-06-10)Mar 18, 2022 · 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