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.
J•••• D••••• L•••••••
- N•••••••• P••••••• A••••••••• I••• independent RIA currentsince Jan 8, 2014 · Bedford, Nh
- L•• F•••••••• L•• BD affiliated currentsince Dec 6, 2013 · Portsmouth, Nh
- S•••••••• A••••••• L•• national BDJul 20, 2010 to Oct 4, 2013 · Merrimack, Nh
- L•• F•••••••• L•• BD affiliatedApr 7, 2009 to Jun 16, 2009 · Nashua, Nh
- S•••••••• A••••••• L•• national BDJan 12, 2009 to Mar 13, 2009 · Merrimack, Nh
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Oct 4, 2013, registered Dec 6, 2013 (63 days) · Other
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Jun 16, 2009, registered Jul 20, 2010 (399 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Mar 13, 2009, registered Apr 7, 2009 (25 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