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.
N•••• M•••• B•••••••••
- M•••••• BD affiliated currentsince Jul 27, 2022 · Meredith, Nh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 13, 2020 to Jul 8, 2022 · Spokane Valley, Wa
- P•••••••• C•••••• unclassifiedMay 14, 2019 to Sep 16, 2019 · P••••••••, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDMay 16, 2018 to Apr 24, 2019 · Southern Pines, Nc
- B••• S••••••••• L•• formerFeb 7, 2017 to Apr 25, 2018 · Southern Pines, Nc
- M••••• S•••••• wirehouseFeb 18, 2016 to Apr 7, 2016 · Portsmouth, Nh
- N••••••••• M••••• I••••••••• S••••••••• to M••••••left Jul 8, 2022, registered Jul 27, 2022 (19 days) · Other
- P•••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 16, 2019, registered Apr 13, 2020 (210 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••••• C••••••left Apr 24, 2019, registered May 14, 2019 (20 days) · Other
- B••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 25, 2018, registered May 16, 2018 (21 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to B••• S••••••••• L••left Apr 7, 2016, registered Feb 7, 2017 (306 days) · Other
- N•••• M•••• B••••••••• left N••••••••• M••••• I••••••••• S••••••••• for Mariner (registered 2022-07-27)Jul 8, 2022 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address