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.
S••• J••• M•••••• V•••••
- O••••••• A•••• M••••••••• L•• independent RIA currentsince Jul 3, 2025 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedDec 7, 2017 to Jul 2, 2020 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedAug 10, 2015 to Oct 20, 2017 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseAug 17, 2009 to Aug 4, 2015 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• to O••••••• A•••• M••••••••• L••left Jul 2, 2020, registered Jul 3, 2025 (1827 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• A•• P••••••• S••••••• to T••••• A••••••• S•••••••• I•••left Oct 20, 2017, registered Dec 7, 2017 (48 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Aug 4, 2015, registered Aug 10, 2015 (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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address