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.
F•••••• R••••• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 13, 2016 · Manchester, Nh
- U••• F•••••••• P••••••• S••••••• formerMay 5, 2014 to Jul 29, 2016 · Needham, Ma
- S•••••••• A••••••• L•• national BDJan 10, 2005 to Feb 18, 2014 · Merrimack, Nh
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2016, registered Dec 13, 2016 (137 days) · Other
- S•••••••• A••••••• L•• to U••• F•••••••• P••••••• S•••••••left Feb 18, 2014, registered May 5, 2014 (76 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address