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.
J••••••• D• L••••••
- A••••••• W••••• A••••••• BD affiliated currentsince Mar 31, 2025 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedAug 13, 2019 to Mar 31, 2025 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 2, 2017 to Jun 10, 2019 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 1, 2014 to Jan 30, 2017 · Charlotte, Nc
- E•••••• C•••••• M••••••••• L•• formerJun 17, 2005 to Dec 31, 2005 · Charlotte, Nc
- P••• A••••• S••••••••• L•• to A••••••• W••••• A•••••••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P••• A••••• S••••••••• L••left Jun 10, 2019, registered Aug 13, 2019 (64 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 30, 2017, registered Feb 2, 2017 (3 days) · Other · moved with a team
- E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2005, registered Mar 1, 2014 (2982 days) · Other
- J••••••• D• L•••••• left P••• A••••• S••••••••• L•• for A••••••• W••••• A••••••• (registered 2025-03-31)Mar 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address