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.
B•••• S••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 17, 2025 · Tarpon Springs, Fl
- F•••• H•••••• A•••••••• I•• formerSep 28, 2021 to Jun 18, 2025 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseFeb 27, 2020 to Aug 23, 2021 · Tarpon Springs, Fl
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedAug 24, 2015 to Nov 23, 2016 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 10, 2015 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 4, 2006 to Oct 23, 2009 · Greensboro, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 7, 2005 to Jan 31, 2006 · Raleigh, Nc
- F•••• H•••••• A•••••••• I•• to W•••• F•••• A•••••••left Jun 18, 2025, registered Jun 17, 2025 (-1 days) · RIA to wirehouse
- W•••• F•••• A••••••• to F•••• H•••••• A•••••••• I••left Aug 23, 2021, registered Sep 28, 2021 (36 days) · Wirehouse to independent RIA
- F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 23, 2016, registered Feb 27, 2020 (1191 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Aug 10, 2015, registered Aug 24, 2015 (14 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 31, 2006, registered Apr 4, 2006 (63 days) · Other
- B•••• S•••• left F•••• H•••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2025-06-17)Jun 18, 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address