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.
C•••• J•••• K••••
- N•••••••• P••••••• A••••••••• I••• independent RIA currentsince Apr 4, 2019 · Goffstown, Nh
- L•• F•••••••• L•• BD affiliated currentsince Mar 29, 2019 · Goffstown, Nh
- B•• P•••••••• I••• BD affiliatedAug 16, 2011 to Apr 1, 2019 · Cedar Rapids, Ia
- A••••••• P••••••••• A•••••••• I•• formerMar 27, 2006 to Oct 19, 2006 · Holbrook, Ny
- B•• P•••••••• I••• to L•• F•••••••• L••left Apr 1, 2019, registered Mar 29, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••• P••••••••• A•••••••• I•• to B•• P•••••••• I•••left Oct 19, 2006, registered Aug 16, 2011 (1762 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address