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.
D•••• R••••• M••••••
- C•••• F•••••••• P••••••• L•• state registered currentsince Mar 20, 2018 · Springvale, Me
- T•• W••••• C••••••••• G•••• i••••••••• wealthDec 8, 2021 to Feb 24, 2022 · Santa Rosa, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 22, 2017 to Mar 16, 2018 · Santa Rosa, Ca
- C•••• F•••••••• P••••••• L•• unclassifiedJan 27, 2017 to Jun 22, 2017 · Santa Rosa, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 14, 2005 · Oldtown, Me
- Q•••• • R•••••• I••• unclassifiedMar 15, 2004 to Oct 20, 2004 · Bangor, Me
- T•• W••••• C••••••••• G•••• to no registered destinationleft Feb 24, 2022 · Departure, no registered destination
- I••••••••• F•••••••• G••••• L•• to C•••• F•••••••• P••••••• L••left Mar 16, 2018, registered Mar 20, 2018 (4 days) · Other
- C•••• F•••••••• P••••••• L•• to I••••••••• F•••••••• G••••• L••left Jun 22, 2017, registered May 22, 2017 (-31 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• F•••••••• P••••••• L••left Feb 14, 2005, registered Jan 27, 2017 (4365 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- D•••• R••••• M•••••• no longer registered at T•• W••••• C••••••••• G••••; no later IA registration on IAPDFeb 24, 2022 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address