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•••• L• C••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Jan 30, 2023 · Londonderry, Nh
- C••••••• S••••••••• I••• BD affiliatedMay 17, 2021 to Jan 10, 2023 · Hudson, Nh
- P•••• S••••••••• L•• no RAUMMar 22, 2017 to Jun 11, 2021 · Wakefield, Ma
- C••••••• S••••••••• I••• to S•••• I••••• S••••••••• L••left Jan 10, 2023, registered Jan 30, 2023 (20 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to C••••••• S••••••••• I•••left Jun 11, 2021, registered May 17, 2021 (-25 days) · Affiliated broker-dealer or bank to another
- S•••• L• C•••••• left C••••••• S••••••••• I••• for S•••• I••••• S••••••••• L•• (registered 2023-01-30)Jan 10, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address