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.
S••••• M•••••
- D••• D••••••• • C•• independent RIA currentsince Aug 14, 2025 · Great Falls, Mt
- L•• F•••••••• L•• BD affiliatedApr 28, 2008 to Sep 30, 2019 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 10, 2005 to Apr 14, 2008 · Oakhurst, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 2, 2004 · Charlotte, Nc
- Q•••• • R•••••• I••• unclassifiedSep 23, 2003 to Oct 20, 2004 · Point Pleasant, Nj
- L•• F•••••••• L•• to D••• D••••••• • C••left Sep 30, 2019, registered Aug 14, 2025 (2145 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 14, 2008, registered Apr 28, 2008 (14 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 2, 2004, registered Oct 10, 2005 (342 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address