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.
P••• L• G•••••
- G••••• W••••• M••••••••• independent RIA currentsince Apr 17, 2026 · Charlotte, Nc
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Apr 20, 2026 · Charlotte, Nc
- N•• A•••••• S•••••••• L•• formerOct 29, 2010 to Sep 22, 2016 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 12, 2010 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 11, 2006 to Jun 1, 2009 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Aug 25, 2006 · Charlotte, Nc
- K••••• A••••••• S•••••••• L•• to G••••• W••••• M•••••••••left Apr 20, 2026, registered Apr 17, 2026 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- M••••• S•••••• to N•• A•••••• S•••••••• L••left Nov 12, 2010, registered Oct 29, 2010 (-14 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
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Aug 25, 2006, registered Aug 11, 2006 (-14 days) · Other
- P••• L• G••••• left K••••• A••••••• S•••••••• L•• for G••••• W••••• M••••••••• (registered 2026-04-17)Apr 20, 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address