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.
G•••• W•••••• G•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 13, 2020 · Woburn, Ma
- O•••• F•• I••• formerSep 7, 2016 to May 12, 2020 · Keene, Nh
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Aug 5, 2016 · Keene, Nh
- N•• E•••••• S••••••••• C••••••••• formerNov 1, 2012 to Jan 2, 2015 · Keene, Nh
- 1•• G••••• A••••••• I•• formerNov 11, 2010 to Nov 15, 2012 · Keene, Nh
- O•••• F•• I••• to L•• F•••••••• L••left May 12, 2020, registered May 13, 2020 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Aug 5, 2016, registered Sep 7, 2016 (33 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- 1•• G••••• A••••••• I•• to N•• E•••••• S••••••••• C•••••••••left Nov 15, 2012, registered Nov 1, 2012 (-14 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address