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••••• R•••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 6, 2021 · Glen Allen, Va
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Jul 7, 2021 · Glen Allen, Va
- N•• A•••••• S•••••••• L•• formerNov 16, 2015 to Sep 22, 2016 · Glen Allen, Va
- Q•••••• A•••• M••••••••• I••• formerSep 3, 2013 to Dec 16, 2015 · Minneapolis, Mn
- M•• F•••••••• S•••••••• I••• formerJan 3, 2012 to Sep 6, 2013 · Lewiston, Me
- C•••••••• F••••••••• I••• BD affiliatedApr 14, 2011 to Dec 1, 2011 · Hampton, Nh
- N•• E•••••• S••••••••• C••••••••• formerJan 21, 2011 to Apr 25, 2011 · Exeter, Nh
- M•••••• independent RIADec 2, 2010 to Apr 19, 2011 · Overland Park,, Ks
- I••••••••• A••••••• C••• formerJun 21, 2010 to Nov 22, 2010 · Portsmouth, Nh
- M•• F•••••••• S•••••••• I••• formerApr 8, 2009 to Jul 7, 2010 · Exeter, Nh
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 7, 2021, registered Jul 6, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to N•• A•••••• S•••••••• L••left Dec 16, 2015, registered Nov 16, 2015 (-30 days) · Other
- M•• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Sep 6, 2013, registered Sep 3, 2013 (-3 days) · Other
- C•••••••• F••••••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 1, 2011, registered Jan 3, 2012 (33 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C•••••••• F••••••••• I•••left Apr 25, 2011, registered Apr 14, 2011 (-11 days) · Other
- M•••••• to N•• E•••••• S••••••••• C•••••••••left Apr 19, 2011, registered Jan 21, 2011 (-88 days) · Other
- I••••••••• A••••••• C••• to M••••••left Nov 22, 2010, registered Dec 2, 2010 (10 days) · Other
- M•• F•••••••• S•••••••• I••• to I••••••••• A••••••• C•••left Jul 7, 2010, registered Jun 21, 2010 (-16 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