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•••••• BD affiliated currentsince Jan 5, 2022 · New London, Nh
- W•••••••• I••••••••• C••••••••• I••• independent RIAFeb 2, 2018 to Jan 19, 2022 · New London, Nh
- H••••••• I••••••••• M••••••••• I•• formerNov 3, 2005 to Aug 24, 2007 · Concord, Nh
- W•••••••• I••••••••• C••••••••• I••• to M••••••left Jan 19, 2022, registered Jan 5, 2022 (-14 days) · RIA to affiliated broker-dealer or bank · moved with a team
- H••••••• I••••••••• M••••••••• I•• to W•••••••• I••••••••• C••••••••• I•••left Aug 24, 2007, registered Feb 2, 2018 (3815 days) · Other
- C••• L••••• R••••••••• left W•••••••• I••••••••• C••••••••• I••• for Mariner (registered 2022-01-05)Jan 19, 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