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.
B•••• T•••••• B•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 2, 2012 · Camden, Me
- C•••••••• F••••••••• I••• BD affiliatedJan 27, 2010 to Mar 2, 2012 · Searsport, Me
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 29, 2008 to Nov 24, 2009 · Venice, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 14, 2004 to Jan 11, 2008 · Ellsworth, Me
- P•••• S••••••••• L•• no RAUMSep 25, 2002 to Sep 17, 2004 · Belfast, Me
- C•••••••• F••••••••• I••• to C••••••••• F•••••••• N••••••left Mar 2, 2012, registered Mar 2, 2012 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• F••••••••• I•••left Nov 24, 2009, registered Jan 27, 2010 (64 days) · Other
- P•••• S••••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Sep 17, 2004, registered Sep 14, 2004 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address