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••••• C•••••• M••••
- O••••••• A•••• M••••••••• L•• independent RIA currentsince Jul 1, 2025 · Birmingham, Al
- B•••• W•••••• L•• formerApr 13, 2021 to Feb 1, 2022 · Charlotee, Nc
- W•••• F•••• A••••••• wirehouseMar 31, 2009 to Apr 26, 2012 · Charlotte, Nc
- C•••••• A••••••• S••••••• I••• unclassifiedMay 16, 2005 to Jan 6, 2009 · Charlotte, Nc
- R•• C•••••• M••••••• L•• national BDFeb 17, 2004 to Jan 4, 2005 · Charlotte, Nc
- J•• L•••••• S••••••••• I••• unclassifiedDec 31, 2001 to Feb 13, 2004 · Charlotte, Nc
- B•••• W•••••• L•• to O••••••• A•••• M••••••••• L••left Feb 1, 2022, registered Jul 1, 2025 (1246 days) · RIA to a newly registered adviser
- W•••• F•••• A••••••• to B•••• W•••••• L••left Apr 26, 2012, registered Apr 13, 2021 (3274 days) · Wirehouse to independent RIA
- C•••••• A••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 6, 2009, registered Mar 31, 2009 (84 days) · Other
- R•• C•••••• M••••••• L•• to C•••••• A••••••• S••••••• I•••left Jan 4, 2005, registered May 16, 2005 (132 days) · Other
- J•• L•••••• S••••••••• I••• to R•• C•••••• M••••••• L••left Feb 13, 2004, registered Feb 17, 2004 (4 days) · Other
- R••••• C•••••• M•••• left B•••• W•••••• L•• for O••••••• A•••• M••••••••• L•• (registered 2025-07-01)Feb 1, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address