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••••• B•••••• C••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Hillsborough, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2022 to Mar 31, 2025 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2016 to Mar 28, 2022 · Durham, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 6, 2011 to Sep 14, 2016 · Durham, Nc
- W•••• F•••• A••••••• wirehouseOct 5, 2004 to Jul 27, 2011 · Durham, Nc
- W•••••• • R••• formerApr 16, 2003 to May 3, 2004 · Raleigh, Nc
- 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•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2022, registered Apr 25, 2022 (28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- V•••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2016, registered Sep 20, 2016 (6 days) · Other
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Jul 27, 2011, registered Sep 6, 2011 (41 days) · Other
- W•••••• • R••• to W•••• F•••• A•••••••left May 3, 2004, registered Oct 5, 2004 (155 days) · Other
- R••••• B•••••• C•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-25)Mar 28, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address