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.
- E••••• J•••• national BD currentsince Jul 7, 2023 · Saco, Me
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 15, 2018 to Jul 7, 2023 · Falmouth, Me
- S•••••••• F•••••••• G••••• L•• independent RIAJul 15, 2015 to Sep 5, 2018 · Portland, Me
- M•• I•••••••• S•••••••• L•• to E••••• J••••left Jul 7, 2023, registered Jul 7, 2023 (0 days) · Affiliated broker-dealer or bank to another
- S•••••••• F•••••••• G••••• L•• to M•• I•••••••• S•••••••• L••left Sep 5, 2018, registered Oct 15, 2018 (40 days) · RIA to affiliated broker-dealer or bank
- Q•••• N••• N••••• left M•• I•••••••• S•••••••• L•• for E••••• J•••• (registered 2023-07-07)Jul 7, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address