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.
D•••• R••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Belmont, Nc
- A•••••• A••••••• S••••••• formerApr 25, 2023 to Sep 5, 2025 · Dallas, Tx
- C••••• A•••••• N••••••• L•• formerMar 25, 2022 to Apr 26, 2023 · Fort Mill, Sc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 26, 2017 to May 20, 2021 · The Woodlands, Tx
- M••••• S•••••• wirehouseJun 19, 2014 to Apr 18, 2017 · Atlanta, Ga
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 1, 2009 · Atlanta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 4, 2006 to Jun 1, 2009 · Atlanta, Ga
- Z•••• I••••••••• M••••••••• I••• mixed wealthMay 24, 2006 to Oct 6, 2006 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 8, 2000 to Sep 16, 2005 · Charlotte, Nc
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to A•••••• A••••••• S•••••••left Apr 26, 2023, registered Apr 25, 2023 (-1 days) · channel change inside one enterprise, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered Mar 25, 2022 (309 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 18, 2017, registered Apr 26, 2017 (8 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Z•••• I••••••••• M••••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 6, 2006, registered Dec 4, 2006 (59 days) · Other
- C•••••••• G••••• M•••••• I••• to Z•••• I••••••••• M••••••••• I•••left Sep 16, 2005, registered May 24, 2006 (250 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address