DFX Intelligence

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.

Registered advisor

Adam Aldrich

Mai Capital Management, LLCindependent RIACharlotte, NcIA-onlyIAPD 4894510

Feed of 09/14/2026

Also filed as Adam Shain Aldrich

At current firm

0 y

since Feb 13, 2026

In the industry

21 y

since Mar 24, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Mai Capital Management, LLC independent RIA current
since Feb 13, 2026 · Charlotte, Nc
Huntington Financial Advisors BD affiliated
Oct 27, 2025 to Feb 3, 2026 · Columbus, Oh
LPL Financial LLC BD affiliated
Mar 11, 2015 to Sep 18, 2025 · Fort Mill, Sc
Raymond James & Associates, Inc. national BD
Mar 18, 2013 to Mar 11, 2015 · Charlotte, Nc
Valic Financial Advisors, Inc. BD affiliated
Jun 25, 2012 to Mar 21, 2013 · Greensboro, Nc
Morgan Stanley wirehouse
Sep 3, 2009 to Jul 13, 2012 · Newport Beach, Ca
Wells Fargo Investments, LLC unclassified
Mar 4, 2009 to Sep 1, 2009 · Newport Beach, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 2, 2007 to Dec 8, 2008 · Savannah, Ga
UBS Financial Services Inc. wirehouse
Nov 22, 2006 to Jan 17, 2007 · Savannah, Ga

Moves

a registration end followed by a registration begin elsewhere

Huntington Financial Advisors to Mai Capital Management, LLC
left Feb 3, 2026, registered Feb 13, 2026 (10 days) · Affiliated broker-dealer or bank to independent RIA
LPL Financial LLC to Huntington Financial Advisors
left Sep 18, 2025, registered Oct 27, 2025 (39 days) · Affiliated broker-dealer or bank to another
Raymond James & Associates, Inc. to LPL Financial LLC
left Mar 11, 2015, registered Mar 11, 2015 (0 days) · Other
Valic Financial Advisors, Inc. to Raymond James & Associates, Inc.
left Mar 21, 2013, registered Mar 18, 2013 (-3 days) · Other
Morgan Stanley to Valic Financial Advisors, Inc.
left Jul 13, 2012, registered Jun 25, 2012 (-18 days) · Other
Wells Fargo Investments, LLC to Morgan Stanley
left Sep 1, 2009, registered Sep 3, 2009 (2 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Investments, LLC
left Dec 8, 2008, registered Mar 4, 2009 (86 days) · Other
UBS Financial Services Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 17, 2007, registered Feb 2, 2007 (16 days) · Wirehouse to wirehouse

Signals

Adam Aldrich left Huntington Financial Advisors for Mai Capital Management, Llc (registered 2026-02-13)
Feb 3, 2026 · Advisor changed firm · fact
Adam Aldrich left Lpl Financial Llc for Huntington Financial Advisors (registered 2025-10-27)
Sep 18, 2025 · Advisor changed firm · fact

Transition signals

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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address