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.
M•••••• L•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Winston-Salem, Nc
- C••• F•••••••• S•••••••• L••• formerDec 2, 2024 to May 15, 2025 · Winston-Salem, Nc
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedFeb 9, 2022 to Jul 19, 2024 · Columbus, Oh
- P••• A••••• S••••••••• L•• BD affiliatedFeb 28, 2018 to Jan 25, 2022 · Winston-Salem, Nc
- S•••••••• A•••••••• I••• formerJun 10, 2013 to Mar 20, 2017 · Winston-Salem, Nc
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- N••••••••• I••••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jul 19, 2024, registered Dec 2, 2024 (136 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Jan 25, 2022, registered Feb 9, 2022 (15 days) · Affiliated broker-dealer or bank to another
- S•••••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Mar 20, 2017, registered Feb 28, 2018 (345 days) · Other
- M•••••• L•••• B•••• left N••••••••• I••••••••• A•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2024-12-02)Jul 19, 2024 · Advisor changed firm · fact
- M•••••• L•••• B•••• left P••• A••••• S••••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-02-09)Jan 25, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address