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.
M•••••• J••• W•••••••
- M••••• G••••• A••••••• I••• independent RIA currentsince May 15, 2026 · Raleigh, Nc
- N••••••• T•••• S••••••••• I•• BD affiliatedAug 30, 2021 to May 19, 2026 · Scottsdale, Az
- V••••••• A•••••••• I••• BD affiliatedJun 8, 2018 to Aug 4, 2020 · Scottsdale, Az
- F•••• A••••• A••••••• S•••••••• I••• formerOct 5, 2016 to Jun 4, 2018 · Cary, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 4, 2016 to Sep 29, 2016 · Cary, Nc
- T• A••••••••• I••• formerJan 4, 2016 to Sep 29, 2016 · Cary, Nc
- S•••••••• A••••••• L•• national BDJul 23, 2010 to Aug 21, 2014 · Campbell, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 27, 2007 to Oct 28, 2009 · San Jose, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 1, 2007 · San Jose, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Apr 2, 2007 · San Jose, Ca
- N••••••• T•••• S••••••••• I•• to M••••• G••••• A••••••• I•••left May 19, 2026, registered May 15, 2026 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- V••••••• A•••••••• I••• to N••••••• T•••• S••••••••• I••left Aug 4, 2020, registered Aug 30, 2021 (391 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to V••••••• A•••••••• I•••left Jun 4, 2018, registered Jun 8, 2018 (4 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Sep 29, 2016, registered Oct 5, 2016 (6 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 29, 2016, registered Jan 4, 2016 (-269 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Aug 21, 2014, registered Jan 4, 2016 (501 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left Oct 28, 2009, registered Jul 23, 2010 (268 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left May 1, 2007, registered Apr 27, 2007 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• J••• W••••••• left N••••••• T•••• S••••••••• I•• for M••••• G••••• A••••••• I••• (registered 2026-05-15)May 19, 2026 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address