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••• P•••••• M••••••
- M••••• S•••••• wirehouse currentsince Feb 11, 2019 · Manchester, Nh
- L•• F•••••••• L•• BD affiliatedJan 20, 2015 to Mar 7, 2019 · Durham, Nh
- W•••• F•••• A••••••• wirehouseJul 15, 2010 to Jan 20, 2015 · Portsmouth, Nh
- C••••• I••••••••• S••••••• L•• formerApr 7, 2008 to Jun 26, 2009 · Manchester, Nh
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 18, 2006 to Mar 20, 2008 · Portsmouth, Nh
- L•• F•••••••• L•• to M••••• S••••••left Mar 7, 2019, registered Feb 11, 2019 (-24 days) · RIA to wirehouse
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 20, 2015, registered Jan 20, 2015 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Jun 26, 2009, registered Jul 15, 2010 (384 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Mar 20, 2008, registered Apr 7, 2008 (18 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address