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••• S••••• O•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 25, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 14, 2020 to Jul 21, 2025 · Charlotte, Nc
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthMar 6, 2020 to Jul 29, 2020 · Charlotte, Nc
- S•••• W••••• M••••••••• L•• BD affiliatedMar 23, 2017 to Mar 5, 2020 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 27, 2017 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedOct 19, 2007 to Jun 1, 2009 · Charlotte, Nc
- A• G• E•••••• • S•••• I••• unclassifiedSep 15, 2006 to Oct 12, 2007 · Charlotte, Nc
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jul 21, 2025, registered Jul 25, 2025 (4 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••••• A•••••• A•••••••• L•• to W•••• F•••• A•••••••left Jul 29, 2020, registered Oct 14, 2020 (77 days) · RIA to wirehouse
- S•••• W••••• M••••••••• L•• to I••••••••• A•••••• A•••••••• L••left Mar 5, 2020, registered Mar 6, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to S•••• W••••• M••••••••• L••left Mar 27, 2017, registered Mar 23, 2017 (-4 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to M••••• S•••••• • C•• L••left Oct 12, 2007, registered Oct 19, 2007 (7 days) · Other
- L••• S••••• O••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-07-25)Jul 21, 2025 · a•••••• firm change · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address