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••••• A•• A••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 16, 2022 · Pembroke, Nh
- T•• P•••••• F•••••••• G••••• L•• independent RIASep 16, 2019 to Nov 19, 2024 · Walpole, Ma
- E•• F•••••••• A••••••• independent RIAApr 21, 2017 to Sep 19, 2019 · Bow, Nh
- T•• P•••••• F•••••••• G••••• L•• to C••••• I••••••••• A••••••• L••left Nov 19, 2024, registered Dec 16, 2022 (-704 days) · RIA to affiliated broker-dealer or bank
- E•• F•••••••• A••••••• to T•• P•••••• F•••••••• G••••• L••left Sep 19, 2019, registered Sep 16, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• A•• A•••••••• left T•• P•••••• F•••••••• G••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2022-12-16)Nov 19, 2024 · 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
- 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