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.
A•••• T• O••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Jun 17, 2026 · Reno, Nv
- P•••••• C••••••••• W••••• M••••••••• L•• formerJan 19, 2021 to Jun 17, 2026 · Charlotte, Nc
- M••••• A•••••••• L•• BD affiliatedAug 11, 2020 to Feb 8, 2021 · Weddington, Nc
- W•••• F•••• A••••••• wirehouseMar 12, 2019 to Aug 13, 2020 · Charlotte, Nc
- U••• B•••••• I••••••••• I••• formerMar 12, 2012 to Mar 15, 2019 · Germantown, Wi
- C•••• I••••••••• S••••••• C•••• formerJan 10, 2008 to Mar 13, 2012 · Kenosha, Wi
- P•••••• C••••••••• W••••• M••••••••• L•• to B•••••••• A•••• M••••••••• L••left Jun 17, 2026, registered Jun 17, 2026 (0 days) · RIA to RIA
- M••••• A•••••••• L•• to P•••••• C••••••••• W••••• M••••••••• L••left Feb 8, 2021, registered Jan 19, 2021 (-20 days) · Affiliated broker-dealer or bank to a newly registered adviser
- W•••• F•••• A••••••• to M••••• A•••••••• L••left Aug 13, 2020, registered Aug 11, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Mar 15, 2019, registered Mar 12, 2019 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Mar 13, 2012, registered Mar 12, 2012 (-1 days) · Other
- A•••• T• O•••• left P•••••• C••••••••• W••••• M••••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2026-06-17)Jun 17, 2026 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address