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.
- M••••• S•••••• wirehouse currentsince Nov 30, 2023 · Portland, Me
- H•••••••• A•••••••• L•• BD affiliatedAug 25, 2023 to Nov 17, 2023 · Chicago, Il
- N••• F•••••••• G••••• I••• formerSep 28, 2020 to Aug 9, 2023 · Falmouth, Me
- H•••••••• A•••••••• L•• to M••••• S••••••left Nov 17, 2023, registered Nov 30, 2023 (13 days) · Affiliated broker-dealer or bank to wirehouse
- N••• F•••••••• G••••• I••• to H•••••••• A•••••••• L••left Aug 9, 2023, registered Aug 25, 2023 (16 days) · Affiliated broker-dealer or bank to another
- L••• A••••• M•••• left H•••••••• A•••••••• L•• for M••••• S•••••• (registered 2023-11-30)Nov 17, 2023 · Advisor changed firm · fact
- L••• A••••• M•••• left N••• F•••••••• G••••• I••• for H•••••••• A•••••••• L•• (registered 2023-08-25)Aug 9, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address