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.
S•••••• A• K•••••
- H••••• M••• I••••••••• I••• no RAUM currentsince Jun 30, 2026 · Springfield, Il
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 21, 2018 to Feb 7, 2020 · Kinston, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Aug 24, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerAug 1, 2017 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseAug 28, 2014 to Jul 24, 2017 · Greenville, Nc
- D•••••••• • C•••••• L•• BD affiliatedApr 8, 2010 to Aug 11, 2014 · Charlottesville, Va
- A••••••••• F•••••••• S•••••••• L•• national BDJan 28, 2008 to Feb 26, 2009 · Harrisonburg, Va
- C•••••••• I••••••••• R••••••• A•••••••• I••• to H••••• M••• I••••••••• I•••left Feb 7, 2020, registered Jun 30, 2026 (2335 days) · Other
- B••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 24, 2018, registered Sep 21, 2018 (28 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 24, 2017, registered Aug 1, 2017 (8 days) · Other
- D•••••••• • C•••••• L•• to W•••• F•••• A•••••••left Aug 11, 2014, registered Aug 28, 2014 (17 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to D•••••••• • C•••••• L••left Feb 26, 2009, registered Apr 8, 2010 (406 days) · Other
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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address