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.
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J•• C••• F••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Winston Salem, Nc
- C••• F•••••••• S•••••••• L••• formerJul 10, 2019 to May 15, 2025 · Winston Salem, Nc
- C••• B•••••••• S•••••••• I••• formerOct 5, 2016 to Jul 18, 2019 · Winston Salem, Nc
- J••••• H•••••••• W••• L••••• L•• formerJul 12, 2012 to Sep 27, 2016 · Louisville, Ky
- R•• C•••••• M••••••• L•• national BDOct 18, 2002 to Jul 20, 2012 · Winston-Salem, Nc
- J•• L•••••• S••••••••• I••• unclassifiedDec 31, 2001 to Oct 21, 2002 · 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 18, 2019, registered Jul 10, 2019 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••••• H•••••••• W••• L••••• L•• to C••• B•••••••• S•••••••• I•••left Sep 27, 2016, registered Oct 5, 2016 (8 days) · Other
- R•• C•••••• M••••••• L•• to J••••• H•••••••• W••• L••••• L••left Jul 20, 2012, registered Jul 12, 2012 (-8 days) · Other
- J•• L•••••• S••••••••• I••• to R•• C•••••• M••••••• L••left Oct 21, 2002, registered Oct 18, 2002 (-3 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address