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.
J•••• R••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 21, 2025 · Charlotte, Nc
- F•••• H•••••• A•••••••• I•• formerAug 28, 2019 to Aug 21, 2025 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedAug 27, 2015 to Sep 24, 2019 · Charlotte, Nc
- S••••••• I••••••••• A•••••••• I••• otherApr 29, 2011 to Apr 20, 2015 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 10, 2011 to Mar 24, 2011 · Charlotte, Nc
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 21, 2010 to Feb 23, 2011 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 25, 2009 to Jun 16, 2010 · Charlotte, Nc
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Aug 21, 2025, registered Aug 21, 2025 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to F•••• H•••••• A•••••••• I••left Sep 24, 2019, registered Aug 28, 2019 (-27 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Apr 20, 2015, registered Aug 27, 2015 (129 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• A•••••••• I•••left Mar 24, 2011, registered Apr 29, 2011 (36 days) · Other
- R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••left Feb 23, 2011, registered Mar 10, 2011 (15 days) · Other
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Jun 16, 2010, registered May 21, 2010 (-26 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address