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.
D•••• K••••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 15, 2026 · Huntersville, Nc
- L•• F•••••••• L•• BD affiliatedDec 11, 2015 to May 4, 2022 · Huntersville, Nc
- C•••••• G••••••• W••••• M••••••••• L•• formerAug 23, 2012 to Dec 10, 2015 · Huntersville, Nc
- W••••••• F•••••••• S•••••••• I••• formerMay 16, 2011 to Aug 28, 2012 · Huntersville, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedOct 20, 2004 to Oct 12, 2007 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 30, 2002 to Jan 28, 2003 · Charlotte, Nc
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left May 4, 2022, registered Jul 15, 2026 (1533 days) · RIA to affiliated broker-dealer or bank
- C•••••• G••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Dec 10, 2015, registered Dec 11, 2015 (1 days) · Other · moved with a team
- W••••••• F•••••••• S•••••••• I••• to C•••••• G••••••• W••••• M••••••••• L••left Aug 28, 2012, registered Aug 23, 2012 (-5 days) · Other
- A••••• A•• P••••••• S••••••• to W••••••• F•••••••• S•••••••• I•••left Oct 12, 2007, registered May 16, 2011 (1312 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jan 28, 2003, registered Oct 20, 2004 (631 days) · Other
- D•••• K•••••••• left L•• F•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-07-15)May 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address