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.
S•••••• D• H•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naples, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 21, 2022 to Mar 31, 2025 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 31, 2016 to Feb 23, 2022 · Raleigh, Nc
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Jul 29, 2016 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedOct 8, 2013 to Jan 28, 2015 · Melville, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 26, 2008 to Apr 24, 2012 · Warwick, Ny
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 23, 2022, registered Apr 21, 2022 (57 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2016, registered Oct 31, 2016 (94 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C•••••• O•• F•••••••• A••••••• L••left Apr 24, 2012, registered Oct 8, 2013 (532 days) · Other
- S•••••• D• H••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-21)Feb 23, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address