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.
J••• F•••••• W••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Nov 28, 2019 · Concord, Nh
- H•••••• C•••••• M••••••••• I•• formerJun 21, 2011 to Nov 14, 2019 · Concord, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 1, 2011 · Manchester, Nh
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 9, 2007 to Oct 23, 2009 · Manchester, Nh
- H•••••• C•••••• M••••••••• I•• to F•••• P••••••• W•••••• L••left Nov 14, 2019, registered Nov 28, 2019 (14 days) · RIA to RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• C•••••• M••••••••• I••left Apr 1, 2011, registered Jun 21, 2011 (81 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address