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.
L•••• S•••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 25, 2018 · Lewiston, Me
- T•• P•••••• F•••••••• G••••• L•• independent RIAOct 7, 2014 to Jun 29, 2018 · Katy, Tx
- N•• E•••••• S••••••••• C••••••••• formerJul 30, 2008 to Sep 7, 2012 · Falmouth, Me
- W•••••• • R••• formerMar 26, 2008 to Apr 29, 2008 · Portsmouth, Nh
- T•• P•••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Jun 29, 2018, registered Jun 25, 2018 (-4 days) · RIA to RIA · moved with a team
- N•• E•••••• S••••••••• C••••••••• to T•• P•••••• F•••••••• G••••• L••left Sep 7, 2012, registered Oct 7, 2014 (760 days) · Other
- W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••left Apr 29, 2008, registered Jul 30, 2008 (92 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address