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••••••••• M••••• W•••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Belmont, Nh
- P•••• S••••••••• L•• no RAUMJun 7, 2018 to Nov 20, 2024 · Dover, Nh
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 5, 2018 · Bedford, Nh
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Manchester, Nh
- M•••••• independent RIAJul 9, 2013 to Apr 5, 2018 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerMar 8, 2006 to Jan 2, 2015 · Manchester, Nh
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 20, 2024, registered Nov 14, 2024 (-6 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jun 5, 2018, registered Jun 7, 2018 (2 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• F•••••••• S•••••••• I•••left Apr 5, 2018, registered Jan 2, 2015 (-1189 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Jul 9, 2013 (-542 days) · Other · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address