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.
C••••••••• J•••• B••••
- S••••• W••••• M••••••••• independent RIA currentsince Apr 29, 2026 · Huntersville, Nc
- E••••••• W••••• A••••••• formerJun 9, 2020 to Apr 29, 2026 · Oklahoma City, Ok
- W••••••••• W••••• M••••••••• L•• formerDec 16, 2015 to Jul 10, 2020 · Huntersville, Nc
- P•••••••• C•••••• M••••••••• I•• formerSep 15, 2015 to Feb 3, 2016 · Charlotte, Nc
- I••••••••• P••••••••• I••• formerSep 3, 2013 to Aug 5, 2015 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedSep 26, 2012 to Sep 10, 2013 · Gastonia, Nc
- W•••• F•••• A••••••• wirehouseOct 20, 2008 to Sep 24, 2012 · Davidson, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 22, 2002 to Nov 3, 2008 · Cornelius, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 31, 2001 to Jul 19, 2002 · Charlotte, Nc
- E••••••• W••••• A••••••• to S••••• W••••• M•••••••••left Apr 29, 2026, registered Apr 29, 2026 (0 days) · corporate re-registration, not a move
- W••••••••• W••••• M••••••••• L•• to E••••••• W••••• A•••••••left Jul 10, 2020, registered Jun 9, 2020 (-31 days) · RIA to RIA · moved with a team
- P•••••••• C•••••• M••••••••• I•• to W••••••••• W••••• M••••••••• L••left Feb 3, 2016, registered Dec 16, 2015 (-49 days) · Other · moved with a team
- I••••••••• P••••••••• I••• to P•••••••• C•••••• M••••••••• I••left Aug 5, 2015, registered Sep 15, 2015 (41 days) · Other
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Sep 10, 2013, registered Sep 3, 2013 (-7 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 24, 2012, registered Sep 26, 2012 (2 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Nov 3, 2008, registered Oct 20, 2008 (-14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 19, 2002, registered Jul 22, 2002 (3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address