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••••• S•••••• wirehouse currentsince May 12, 2023 · Colchester, Vt
- L•• F•••••••• L•• BD affiliatedApr 9, 2012 to May 18, 2023 · Burlington, Vt
- H• B•••• I••• formerJun 24, 2009 to Apr 9, 2012 · South Burlington, Vt
- C••••• A•••••• L•• unclassifiedJan 30, 2009 to Apr 15, 2010 · South Burlington, Vt
- C••••• I••••••••• S••••••• L•• formerMay 6, 2005 to Oct 3, 2008 · Essex Center, Vt
- C••••••••• S••••••••• L••• unclassifiedDec 2, 2003 to Mar 25, 2005 · Burlington, Vt
- A• G• E•••••• • S•••• I••• unclassifiedAug 6, 2001 to May 22, 2003 · Brattleboro, Vt
- L•• F•••••••• L•• to M••••• S••••••left May 18, 2023, registered May 12, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- H• B•••• I••• to L•• F•••••••• L••left Apr 9, 2012, registered Apr 9, 2012 (0 days) · Other
- C••••• A•••••• L•• to H• B•••• I•••left Apr 15, 2010, registered Jun 24, 2009 (-295 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• A•••••• L••left Oct 3, 2008, registered Jan 30, 2009 (119 days) · Other
- C••••••••• S••••••••• L••• to C••••• I••••••••• S••••••• L••left Mar 25, 2005, registered May 6, 2005 (42 days) · Other
- A• G• E•••••• • S•••• I••• to C••••••••• S••••••••• L•••left May 22, 2003, registered Dec 2, 2003 (194 days) · Other
- H•••••• L•• L•••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2023-05-12)May 18, 2023 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address