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••• E••••• H••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 2, 2018 · Boothbay Harbor, Me
- I••••• F•••••••• C••••••••• formerNov 18, 2011 to Dec 31, 2017 · Wiscasset, Me
- S••••••• P•••••• F••••••••• L•• formerNov 29, 2007 to Nov 8, 2011 · Memphis, Tn
- I••••• F•••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Dec 31, 2017, registered Jan 2, 2018 (2 days) · Other
- S••••••• P•••••• F••••••••• L•• to I••••• F•••••••• C•••••••••left Nov 8, 2011, registered Nov 18, 2011 (10 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
- 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