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.
L••••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 13, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Dec 16, 2022 · Matthews, Nc
- P•• W••••• M••••••••• BD affiliatedMar 9, 2022 to Nov 18, 2022 · Charlotte, Nc
- M••••• S•••••• wirehouseMay 26, 2015 to Feb 17, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 19, 2010 to May 11, 2015 · Portland, Me
- E•••••••• A•••••••• L•• national BDApr 29, 2010 to May 21, 2010 · Raleigh, Nc
- U•• F•••••••• S••••••• I••• wirehouseOct 23, 2007 to Jul 11, 2008 · Chapel Hill, Nc
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Nov 18, 2022, registered Dec 16, 2022 (28 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to P•• W••••• M•••••••••left Feb 17, 2022, registered Mar 9, 2022 (20 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left May 11, 2015, registered May 26, 2015 (15 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left May 21, 2010, registered Oct 19, 2010 (151 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to E•••••••• A•••••••• L••left Jul 11, 2008, registered Apr 29, 2010 (657 days) · Wirehouse to affiliated broker-dealer or bank
- L••••• C•••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2022-12-16)Nov 18, 2022 · Advisor changed firm · fact
- L••••• C•••• left M••••• S•••••• for P•• W••••• M••••••••• (registered 2022-03-09)Feb 17, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address