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.
R••••• L••• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Winston-Salem, Nc
- C••• F•••••••• S•••••••• L••• formerAug 17, 2021 to May 15, 2025 · Greensboro, Nc
- P•••• S••••••••• L•• no RAUMOct 25, 2017 to Aug 19, 2021 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJul 16, 2013 to Oct 19, 2017 · Winston Salem, Nc
- S••••••• I••••••••• S•••••••• I••• formerFeb 22, 2008 to Jul 16, 2013 · Greensboro, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 3, 2005 to Feb 13, 2008 · Greensboro, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 24, 2003 to Feb 3, 2005 · Greensboro, 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
- P•••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 19, 2021, registered Aug 17, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Oct 19, 2017, registered Oct 25, 2017 (6 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jul 16, 2013, registered Jul 16, 2013 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 13, 2008, registered Feb 22, 2008 (9 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Feb 3, 2005, registered Feb 3, 2005 (0 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address