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.
R•••••• S••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 19, 2025 · Portland, Me
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 11, 2015 · Biddeford, Me
- C••••• I••••••••• S••••••• L•• formerSep 16, 2013 to Jan 21, 2014 · Biddeford, Me
- L•• F•••••••• L•• BD affiliatedMar 29, 2010 to Nov 2, 2011 · Auburn, Me
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Mar 8, 2010 · Falmouth, Me
- C••••• I••••••••• S••••••• L•• formerNov 13, 2007 to Nov 17, 2009 · Portland, Me
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 1, 2007 to Nov 7, 2007 · Waterville, Me
- U•• F•••••••• S••••••• I••• wirehouseApr 10, 2006 to May 3, 2007 · Portland, Me
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 11, 2015, registered Sep 19, 2025 (3784 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 2, 2011, registered Sep 16, 2013 (684 days) · Other
- T• W••••• M••••••••• S••••••• I••• to L•• F•••••••• L••left Mar 8, 2010, registered Mar 29, 2010 (21 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 7, 2007, registered Nov 13, 2007 (6 days) · Other
- U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 3, 2007, registered May 1, 2007 (-2 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address