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••••• A••••• W•••••••
- P•••••• D•• F•••••••• P•••••••• L•• state registered currentsince Aug 31, 2026 · Charlotte, Nc
- A••• I••••• A••••••• independent RIAMay 12, 2023 to Aug 31, 2026 · Charlotte, Nc
- M••••• S•••••• wirehouseFeb 24, 2020 to May 12, 2023 · Columbia, Sc
- L•• F•••••••• L•• BD affiliatedMar 26, 2015 to Feb 26, 2020 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseFeb 12, 2013 to Mar 19, 2015 · Winston Salem, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2013 · Columbia, Sc
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 23, 2005 to Jun 1, 2009 · Columbia, Sc
- A••• I••••• A••••••• to P•••••• D•• F•••••••• P•••••••• L••left Aug 31, 2026, registered Aug 31, 2026 (0 days) · RIA to a state-registered adviser
- M••••• S•••••• to A••• I••••• A•••••••left May 12, 2023, registered May 12, 2023 (0 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M••••• S••••••left Feb 26, 2020, registered Feb 24, 2020 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 19, 2015, registered Mar 26, 2015 (7 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 27, 2013, registered Feb 12, 2013 (-15 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••••• A••••• W••••••• left A••• I••••• A••••••• for P•••••• D•• F•••••••• P•••••••• L•• (registered 2026-08-31)Aug 31, 2026 · Advisor changed firm · fact
- J••••• A••••• W••••••• left M••••• S•••••• for A••• I••••• A••••••• (registered 2023-05-12)May 12, 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address