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.
E•••••••• W•••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 14, 2026 · Hickory, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 16, 2015 to Jul 15, 2026 · Hickory, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedJul 2, 2009 to Jun 15, 2015 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 6, 2009 · Hickory, Nc
- A• G• E•••••• • S•••• I••• unclassifiedMay 1, 2006 to Jan 1, 2008 · Hickory, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jul 15, 2026, registered Jul 14, 2026 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• I••••••••• A••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 15, 2015, registered Jun 16, 2015 (1 days) · Other · moved with a team
- W•••• F•••• A••••••• to C•••••• I••••••••• A••••••• S•••••••• L••left Jul 6, 2009, registered Jul 2, 2009 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- E•••••••• W•••• R••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2026-07-14)Jul 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address