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.
R•••• E••••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 30, 2025 · Wilkesboro, Nc
- A••• I••••• A••••••• independent RIANov 4, 2021 to Mar 7, 2025 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 22, 2019 to Dec 31, 2020 · Hickory, Nc
- T• A••••••••• I••• formerJan 22, 2019 to Jan 11, 2021 · Hickory, Nc
- L•• F•••••••• L•• BD affiliatedJun 19, 2012 to Jan 11, 2019 · Weeki Wachee, Fl
- C•••••• S••••• • C••• I••• national BDSep 25, 2006 to Jul 2, 2012 · Spring Hill, Fl
- A••• I••••• A••••••• to W•••• F•••• A•••••••left Mar 7, 2025, registered Apr 30, 2025 (54 days) · RIA to wirehouse
- T• A••••••••• I••• to A••• I••••• A•••••••left Jan 11, 2021, registered Nov 4, 2021 (297 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jan 22, 2019 (-709 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 11, 2019, registered Jan 22, 2019 (11 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Jul 2, 2012, registered Jun 19, 2012 (-13 days) · Other
- R•••• E••••• H••••• left A••• I••••• A••••••• for W•••• F•••• A••••••• (registered 2025-04-30)Mar 7, 2025 · 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address