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••••• M•••••• A••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 8, 2013 · Wells, Me
- N•••• F••••••••• L•• independent RIAApr 23, 2013 to Mar 18, 2016 · Portsmouth, Nh
- V•••••••• W••••• M••••••••• I••• formerApr 5, 2012 to May 6, 2013 · Bangor, Me
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 23, 2005 to Jan 10, 2007 · South Portland, Me
- N•••• F••••••••• L•• to no registered destinationleft Mar 18, 2016 · Departure, no registered destination
- V•••••••• W••••• M••••••••• I••• to C••••••••• F•••••••• N••••••left May 6, 2013, registered Apr 8, 2013 (-28 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••••••• W••••• M••••••••• I•••left Jan 10, 2007, registered Apr 5, 2012 (1912 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address