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.
- M••••• S•••••• wirehouse currentsince May 12, 2025 · Bangor, Me
- E•••••• A••••••• G••••• L•• BD affiliatedJul 1, 2019 to May 9, 2025 · Belgrade, Me
- E•••••• A••••••• G••••• L•• BD affiliatedJan 29, 2016 to Dec 13, 2017 · Andover, Ma
- S•••••••• A••••••• L•• national BDJul 15, 2013 to Oct 31, 2014 · Merrimack, Nh
- E•••••• A••••••• G••••• L•• to M••••• S••••••left May 9, 2025, registered May 12, 2025 (3 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to E•••••• A••••••• G••••• L••left Oct 31, 2014, registered Jan 29, 2016 (455 days) · Other
- D••••• W•••• I••••••• left E•••••• A••••••• G••••• L•• for M••••• S•••••• (registered 2025-05-12)May 9, 2025 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address