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.
P•••••• L••••••• B•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 3, 2026 · Durham, Nc
- C••••••••• F•••••••• N•••••• national BDFeb 15, 2013 to Jun 3, 2026 · Durham, Nc
- W•••• F•••• A••••••• wirehouseDec 31, 2001 to Feb 19, 2013 · Durham, Nc
- C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••left Jun 3, 2026, registered Jun 3, 2026 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Feb 19, 2013, registered Feb 15, 2013 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- P•••••• L••••••• B••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2026-06-03)Jun 3, 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