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.
L•••••• L• F••••••
- H•••••• S••••• W••••• A••••••• L•• independent RIA currentsince Jun 23, 2026 · King, Nc
- U•• F•••••••• S••••••• I••• wirehouseApr 20, 2009 to Jul 14, 2025 · Winston-Salem, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 25, 2002 to Apr 22, 2009 · Winston Salem, Nc
- U•• F•••••••• S••••••• I••• to H•••••• S••••• W••••• A••••••• L••left Jul 14, 2025, registered Jun 23, 2026 (344 days) · Wirehouse to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 22, 2009, registered Apr 20, 2009 (-2 days) · Wirehouse to wirehouse
- L•••••• L• F•••••• left U•• F•••••••• S••••••• I••• for H•••••• S••••• W••••• A••••••• L•• (registered 2026-06-23)Jul 14, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address