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.
G••••• L•••••• C••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jan 1, 2026 · Rockhill, Sc
- E•• F•••••••• A••••••• independent RIANov 9, 2012 to Apr 11, 2019 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerOct 21, 2011 to Oct 25, 2012 · Charlotte, Nc
- E•• F•••••••• A••••••• independent RIAOct 14, 2005 to Oct 3, 2011 · Charlotte, Nc
- 1••• C•••••• M••••••••• C•••••• unclassifiedDec 31, 2001 to Oct 3, 2005 · Charlotte, Nc
- E•• F•••••••• A••••••• to H•••••• T••••••• • K•••• L••left Apr 11, 2019, registered Jan 1, 2026 (2457 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to E•• F•••••••• A•••••••left Oct 25, 2012, registered Nov 9, 2012 (15 days) · Other
- E•• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••left Oct 3, 2011, registered Oct 21, 2011 (18 days) · Other
- 1••• C•••••• M••••••••• C•••••• to E•• F•••••••• A•••••••left Oct 3, 2005, registered Oct 14, 2005 (11 days) · Other
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address