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.
M•••••• J••••• M••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 17, 2026 · Charlotte, Nc
- M••••• S•••••• wirehouse currentsince Sep 25, 2025 · Charlotte, Nc
- M••••• S•••••• wirehouse currentsince Sep 25, 2025 · Charlotte, Nc
- M••••• S•••••• wirehouseSep 25, 2025 to Sep 18, 2026 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 20, 2016 to Sep 30, 2025 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 7, 2016 to Dec 6, 2016 · Cornelius, Nc
- W•••• F•••• A••••••• wirehouseJan 13, 2014 to Jun 2, 2016 · Columbia, Sc
- R•••••• J•••• • A••••••••• I••• national BDAug 29, 2013 to Jan 8, 2014 · Sarasota, Fl
- O••••••••• • C•• I••• BD affiliatedDec 21, 2009 to Aug 19, 2013 · Asheville, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 19, 2009 · Asheville, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 6, 1997 to Jun 1, 2009 · Sarasota, Fl
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 18, 2026, registered Sep 17, 2026 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left Sep 30, 2025, registered Sep 25, 2025 (-5 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 6, 2016, registered Dec 20, 2016 (14 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left Jun 2, 2016, registered Jun 7, 2016 (5 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Jan 8, 2014, registered Jan 13, 2014 (5 days) · Affiliated broker-dealer or bank to wirehouse
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Aug 19, 2013, registered Aug 29, 2013 (10 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Dec 19, 2009, registered Dec 21, 2009 (2 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
- M•••••• J••••• M•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2026-09-17)Sep 18, 2026 · Advisor changed firm · fact
- Matthew Marks left W•••• F•••• A••••••• for M••••• S•••••• (registered 2025-09-25)Sep 30, 2025 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address