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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 30, 2020 · Manchester, Nh
- C•••••• S••••• • C••• I••• national BDJul 20, 2016 to Aug 5, 2020 · Bedford, Nh
- S•••••••• A••••••• L•• national BDJun 22, 2007 to Jul 13, 2016 · Merrimack, Nh
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2020, registered Jul 30, 2020 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jul 13, 2016, registered Jul 20, 2016 (7 days) · Affiliated broker-dealer or bank to another
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address