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.
L•••• D•••• D••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Shelby, Nc
- C••• F•••••••• S•••••••• L••• formerJul 10, 2019 to May 15, 2025 · San Diego, Ca
- C••• B•••••••• S•••••••• I••• formerJul 15, 2015 to Jul 15, 2019 · Charlotte, Nc
- F•••• T•••••••• A••••••• S•••••••• I••• formerDec 19, 2011 to Oct 10, 2013 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerNov 12, 2010 to Jun 11, 2015 · Winston Salem, Nc
- W•••• F•••• A••••••• wirehouseOct 20, 2003 to Dec 31, 2005 · Winston Salem, Nc
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jul 15, 2019, registered Jul 10, 2019 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Jun 11, 2015, registered Dec 19, 2011 (-1270 days) · Other
- F•••• T•••••••• A••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Oct 10, 2013, registered Jul 15, 2015 (643 days) · Other
- W•••• F•••• A••••••• to F•••• H•••••• A•••••••• I••left Dec 31, 2005, registered Nov 12, 2010 (1777 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address