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.
R••••• E••••• D••••
- 7•• W•••••• L•• state registered currentsince Feb 19, 2025 · Charlotte, Nc
- A•••••••• C•••••• M••••••••• independent RIAMar 8, 2017 to May 13, 2021 · Cornelius, Nc
- W•••• F•••• A••••••• wirehouseDec 17, 2013 to Dec 14, 2015 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedAug 25, 2010 to Nov 18, 2013 · Fort Mill, Sc
- V••••••• A•••••••• I••• BD affiliatedNov 2, 2009 to Aug 19, 2010 · Charlotte, Nc
- A•••••••• C•••••• M••••••••• to 7•• W•••••• L••left May 13, 2021, registered Feb 19, 2025 (1378 days) · RIA to a state-registered adviser
- W•••• F•••• A••••••• to A•••••••• C•••••• M•••••••••left Dec 14, 2015, registered Mar 8, 2017 (450 days) · Other
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Nov 18, 2013, registered Dec 17, 2013 (29 days) · Other
- V••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 19, 2010, registered Aug 25, 2010 (6 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address