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.
L•••• M••••• W•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Graham, Nc
- A•••••• A••••••• S••••••• formerSep 1, 2022 to Sep 5, 2025 · Graham, Nc
- I•• A•••••••• L•• independent RIAMar 2, 2015 to Sep 1, 2022 · Graham, Nc
- L•• F•••••••• L•• BD affiliatedJan 12, 2012 to Feb 3, 2016 · Graham, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Dec 21, 2011 · Graham, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 27, 2004 to Jan 3, 2005 · Graham, Nc
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- I•• A•••••••• L•• to A•••••• A••••••• S•••••••left Sep 1, 2022, registered Sep 1, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to I•• A•••••••• L••left Feb 3, 2016, registered Mar 2, 2015 (-338 days) · Other · moved with a team
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 21, 2011, registered Jan 12, 2012 (22 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- L•••• M••••• W••• left I•• A•••••••• L•• for A•••••• A••••••• S••••••• (registered 2022-09-01)Sep 1, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address