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•••• N••••• L•••••••
- C•••••• D••••• P•••••• W••••• L•• independent RIA currentsince Mar 20, 2019 · Portsmouth, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDMar 16, 2015 to Mar 21, 2019 · Lewiston, Me
- S•••••••• A••••••• L•• national BDNov 29, 2011 to Dec 2, 2014 · Glendale, Az
- A••••••••• F•••••••• S•••••••• L•• to C•••••• D••••• P•••••• W••••• L••left Mar 21, 2019, registered Mar 20, 2019 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 2, 2014, registered Mar 16, 2015 (104 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address