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.
R•••••• I•••• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 10, 2024 · Manchester, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 25, 2023 to Aug 16, 2024 · Columbia, Md
- R•• C•••••• M••••••• L•• national BDMay 8, 2017 to May 22, 2023 · Peterborough, Nh
- L•• F•••••••• L•• BD affiliatedFeb 20, 2015 to Mar 6, 2017 · Bedford, Nh
- L•• F•••••••• L•• BD affiliatedAug 2, 2013 to Jun 19, 2014 · Peterborough, Nh
- S•••••••• A••••••• L•• national BDNov 22, 2010 to Jul 22, 2013 · Merrimack, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Aug 16, 2024, registered Sep 10, 2024 (25 days) · Affiliated broker-dealer or bank to wirehouse
- R•• C•••••• M••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 22, 2023, registered May 25, 2023 (3 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to R•• C•••••• M••••••• L••left Mar 6, 2017, registered May 8, 2017 (63 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jul 22, 2013, registered Aug 2, 2013 (11 days) · Other
- R•••••• I•••• C••••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2024-09-10)Aug 16, 2024 · Advisor changed firm · fact
- R•••••• I•••• C••••• left R•• C•••••• M••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-05-25)May 22, 2023 · 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address