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.
K••••••• M••••• W•••••••••
- F•••• C••••••• A•••• M••••••••• I•• BD affiliated currentsince Mar 27, 2025 · Greenville, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jul 25, 2023 · Greenville, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 27, 2021 to May 9, 2023 · Concord, Nc
- B••• S••••••••• L•• formerOct 17, 2019 to Oct 1, 2020 · Charlotte, Nc
- B••• I••••••••• I••••••••• A•••••••• I••• formerMay 23, 2019 to Oct 22, 2019 · Greenville, Sc
- B••• S••••••••• L•• formerJan 2, 2018 to Apr 4, 2019 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerDec 21, 2005 to Jan 2, 2018 · Greenville, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 7, 2005 to Jan 6, 2006 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left May 9, 2023, registered Jul 25, 2023 (77 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Oct 1, 2020, registered Jul 27, 2021 (299 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• I••••••••• I••••••••• A•••••••• I••• to B••• S••••••••• L••left Oct 22, 2019, registered Oct 17, 2019 (-5 days) · channel change inside one enterprise, not a move
- B••• S••••••••• L•• to B••• I••••••••• I••••••••• A•••••••• I•••left Apr 4, 2019, registered May 23, 2019 (49 days) · channel change inside one enterprise, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Jan 6, 2006, registered Dec 21, 2005 (-16 days) · Other
- K••••••• M••••• W••••••••• left T••••• A••••••• S•••••••• I••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2023-07-25)May 9, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address