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.
T•••• R••• L••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Apr 29, 2024 · Laconia, Nh
- S••••• F•••••••• G•••• I•• formerJan 6, 2021 to Mar 24, 2021 · Colchester, Ct
- C••••• A•••••• N••••••• L•• formerJan 6, 2021 to Jan 6, 2021 · Colchester, Ct
- S••••• F•••••••• G•••• I•• to P••••••• F•••••••• S•••••••• I•••left Mar 24, 2021, registered Apr 29, 2024 (1132 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to S••••• F•••••••• G•••• I••left Jan 6, 2021, registered Jan 6, 2021 (0 days) · channel change inside one enterprise, not a move
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address