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•••••• S• E••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 1, 2025 · Sarasota, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 13, 2023 to Aug 1, 2025 · Sarasota, Fl
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Jun 29, 2023 · Hampden, Me
- S••••• F•••••••• G•••• I•• formerDec 6, 2018 to May 20, 2021 · Bangor, Me
- Q•••••• A•••• M••••••••• I••• formerSep 10, 2015 to Dec 12, 2018 · Bangor, Me
- L•• F•••••••• L•• BD affiliatedJul 16, 2014 to Sep 25, 2015 · Bangor, Me
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Aug 1, 2025, registered Aug 1, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Apr 13, 2023 (-77 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move
- Q•••••• A•••• M••••••••• I••• to S••••• F•••••••• G•••• I••left Dec 12, 2018, registered Dec 6, 2018 (-6 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Sep 25, 2015, registered Sep 10, 2015 (-15 days) · Other
- G•••••• S• E•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-08-01)Aug 1, 2025 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address