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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 7, 2011 to Jul 13, 2018 · Charlotte, Nc
- T•••••• P•••• F••••••••• I••• state registeredMar 7, 2011 to Jun 16, 2011 · Charlotte, Nc
- S••••• W••••• M••••••••• L•• independent RIAApr 22, 2009 to Mar 8, 2011 · Matthews, Nc
- S•••••••• A••••••• L•• national BDApr 14, 2003 to Feb 12, 2009 · Charlotte , Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T•••••• P•••• F••••••••• I••• to S•••••••• A••••••• L••left Jun 16, 2011, registered Jul 7, 2011 (21 days) · Other
- S••••• W••••• M••••••••• L•• to T•••••• P•••• F••••••••• I•••left Mar 8, 2011, registered Mar 7, 2011 (-1 days) · Other
- S•••••••• A••••••• L•• to S••••• W••••• M••••••••• L••left Feb 12, 2009, registered Apr 22, 2009 (69 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address