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•••••• T•••••• C•••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 18, 2026 · Greenville, Sc
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthMar 21, 2014 to Apr 16, 2020 · Charlotte, Nc
- C•• R••••••••• S••••••••• L•• unclassifiedApr 20, 2004 to Jun 14, 2007 · Roswell, Ga
- C•••••• S••••••••• I••• unclassifiedApr 11, 2003 to Dec 31, 2003 · Bloomfield, Ct
- L•• F•••••••• L•• BD affiliatedMar 31, 2003 to Mar 27, 2026 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseApr 24, 2000 to Apr 15, 2003 · Hartford, Ct
- L•• F•••••••• L•• to C•••••• S••••••••• I•••left Mar 27, 2026, registered Apr 11, 2003 (-8386 days) · Other
- I••••••••• A•••••• A•••••••• L•• to O•••• W•••••• I•••left Apr 16, 2020, registered Mar 18, 2026 (2162 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•• R••••••••• S••••••••• L•• to I••••••••• A•••••• A•••••••• L••left Jun 14, 2007, registered Mar 21, 2014 (2472 days) · Other
- C•••••• S••••••••• I••• to C•• R••••••••• S••••••••• L••left Dec 31, 2003, registered Apr 20, 2004 (111 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Apr 15, 2003, registered Mar 31, 2003 (-15 days) · Other
- R•••••• T•••••• C••••• left L•• F•••••••• L•• for C•••••• S••••••••• I••• (registered 2003-04-11)Mar 27, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address