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.
S•••• E•••••• W•••••
- A•••••••• A••••••• G•••• I••• independent RIA currentsince Apr 29, 2022 · Needham, Ma
- S••••••••• A•••••• A•••••••• I••• formerApr 2, 2018 to Jun 1, 2022 · Needham, Ma
- M••••• S•••••• wirehouseSep 17, 2013 to Mar 5, 2018 · Colchester, Vt
- L•• F•••••••• L•• BD affiliatedDec 22, 2011 to May 15, 2013 · Yarmouth, Me
- A••••••••• F•••••••• S•••••••• L•• national BDAug 8, 2005 to Dec 23, 2011 · Yarmouth, Me
- S••••••••• A•••••• A•••••••• I••• to A•••••••• A••••••• G•••• I•••left Jun 1, 2022, registered Apr 29, 2022 (-33 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M••••• S•••••• to S••••••••• A•••••• A•••••••• I•••left Mar 5, 2018, registered Apr 2, 2018 (28 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to M••••• S••••••left May 15, 2013, registered Sep 17, 2013 (125 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 23, 2011, registered Dec 22, 2011 (-1 days) · Other
- S•••• E•••••• W••••• left S••••••••• A•••••• A•••••••• I••• for A•••••••• A••••••• G•••• I••• (registered 2022-04-29)Jun 1, 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address