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••••• W••••• B•••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 13, 2026 · St. Louis, Mo
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Dec 15, 2025 · Greensboro, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2022 to Mar 31, 2025 · Greensboro, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 14, 2022 · Winston Salem, Nc
- M•• F•••••••• S•••••••• I••• formerNov 22, 2011 to Mar 25, 2017 · Greensboro, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 27, 2009 to Oct 26, 2011 · Winston Salem, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 13, 2004 to Mar 5, 2009 · Greensboro, Nc
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Dec 15, 2025, registered Jul 13, 2026 (210 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 14, 2022, registered Apr 25, 2022 (70 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 26, 2011, registered Nov 22, 2011 (27 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 5, 2009, registered Feb 27, 2009 (-6 days) · Other
- R••••• W••••• B••••• no longer holds an investment adviser registration (last listed at W•••• F•••• A••••••• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- R••••• W••••• B••••• left S•••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2026-07-13)Dec 15, 2025 · Advisor changed firm · fact
- R••••• W••••• B••••• left M•• I•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-25)Feb 14, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address