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.
A••• M••••
- R••• P•••••• W••••• M••••••••• former currentsince Sep 10, 2026 · Bedford, Nh
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2020 · Bangor, Me
- H••• S••••••••• •••• I••• BD affiliatedFeb 20, 2015 to Oct 19, 2020 · Brooklyn, Ny
- M••••• S•••••• wirehouseMay 20, 2010 to Dec 31, 2010 · New York, Ny
- H••• S••••••••• •••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2020, registered Oct 5, 2020 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• S•••••• to H••• S••••••••• •••• I•••left Dec 31, 2010, registered Feb 20, 2015 (1512 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
- Former SEC-registered adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address