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.
S•••••• A••••• C•••••••••
- N•••••• A••••••• BD affiliated currentsince Nov 1, 2021 · New Orleans, La
- M•• A••••••• F•••••••• M••••••••• I••• formerSep 25, 2019 to Nov 1, 2021 · Hampton, Nh
- N••••• S••••••••• L•• formerJan 9, 2016 to Oct 1, 2020 · Hampton, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDDec 11, 2013 to Jan 20, 2016 · Hampton, Nh
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- N••••• S••••••••• L•• to M•• A••••••• F•••••••• M••••••••• I•••left Oct 1, 2020, registered Sep 25, 2019 (-372 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to N••••• S••••••••• L••left Jan 20, 2016, registered Jan 9, 2016 (-11 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address