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.
L••• M•••• T••••••
- T•••••• F•••••••• C••••••••• L•• state registered currentsince Jun 19, 2018 · B•••••, Me
- V••• F•••••••• P•••••••• L•• formerDec 14, 2005 to Feb 17, 2010 · B•••••, Me
- B••••• S••••••••• I••• unclassifiedOct 25, 2002 to Apr 20, 2005 · Portland, Me
- M•••• W••••• M••••••••• independent RIAOct 4, 2002 to Oct 18, 2002 · B•••••, Me
- V••• F•••••••• P•••••••• L•• to T•••••• F•••••••• C••••••••• L••left Feb 17, 2010, registered Jun 19, 2018 (3044 days) · Other
- B••••• S••••••••• I••• to V••• F•••••••• P•••••••• L••left Apr 20, 2005, registered Dec 14, 2005 (238 days) · Other
- M•••• W••••• M••••••••• to B••••• S••••••••• I•••left Oct 18, 2002, registered Oct 25, 2002 (7 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address