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.
A••••• T•••••• D••••••
- N•••••••• P••••••• A••••••••• I••• independent RIA currentsince Feb 4, 2014 · Bedford, Nh
- L•• F•••••••• L•• BD affiliated currentsince Feb 3, 2014 · Bedford, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 18, 2010 to Oct 18, 2013 · Winter Park, Fl
- L•• F•••••••• L•• BD affiliatedJul 22, 2009 to Jan 4, 2010 · Danvers, Ma
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 18, 2013, registered Feb 3, 2014 (108 days) · Other
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 4, 2010, registered Feb 18, 2010 (45 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address