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••••• S• W••••
- Q••••• W•••• A•••••••• L•• independent RIA currentsince Sep 14, 2026 · Raleigh, Nc
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 18, 2026 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 4, 2017 to Jul 13, 2018 · Durham, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 30, 2011 to Jul 24, 2014 · Durham, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 2010 to Dec 7, 2011 · Raleigh, Nc
- E••••• J•••• national BDNov 17, 2006 to Dec 17, 2010 · St Louis, Mo
- S•••••••• A••••••• L•• to Q••••• W•••• A•••••••• L••left Jun 18, 2026, registered Sep 14, 2026 (88 days) · Affiliated broker-dealer or bank to independent RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••left Jul 24, 2014, registered Jan 4, 2017 (895 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 7, 2011, registered Nov 30, 2011 (-7 days) · Other
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Dec 17, 2010, registered Dec 15, 2010 (-2 days) · Affiliated broker-dealer or bank to another
- R••••• S• W•••• registered as an investment adviser representative at Q••••• W•••• A•••••••• L••Sep 14, 2026 · Advisor registered · 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