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.
D••• T••• H••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince May 15, 2026 · Greenwood Village, Co
- A•••• W••••• A•••••••• L•• BD affiliatedJul 25, 2024 to Jan 10, 2025 · Alpharetta, Ga
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedSep 9, 2020 to Sep 16, 2022 · Atlanta, Ga
- E•••••• C•••••• M••••••••• L•• formerOct 20, 2015 to Jul 21, 2020 · Los Angeles, Ca
- A•••• W••••• A•••••••• L•• BD affiliatedFeb 17, 2010 to Oct 8, 2015 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 8, 2010 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 1, 2007 to Jun 1, 2009 · Chicago, Il
- A•••• W••••• A•••••••• L•• to E•••••• A••••••• G••••• L••left Jan 10, 2025, registered May 15, 2026 (490 days) · Affiliated broker-dealer or bank to another
- W••••• E••••••••• A••••••• S•••••••• L•• to A•••• W••••• A•••••••• L••left Sep 16, 2022, registered Jul 25, 2024 (678 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 21, 2020, registered Sep 9, 2020 (50 days) · RIA to affiliated broker-dealer or bank
- A•••• W••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 8, 2015, registered Oct 20, 2015 (12 days) · Other
- M••••• S•••••• to A•••• W••••• A•••••••• L••left Mar 8, 2010, registered Feb 17, 2010 (-19 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D••• T••• H•••• left A•••• W••••• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-05-15)Jan 10, 2025 · Advisor changed firm · fact
- D••• T••• H•••• left W••••• E••••••••• A••••••• S•••••••• L•• for A•••• W••••• A•••••••• L•• (registered 2024-07-25)Sep 16, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address