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.
L••• M•••••• C•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 6, 2026 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2023 to Nov 24, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 13, 2018 to Sep 10, 2019 · Charlotte, Nc
- D••••••• B••• S••••••••• I••• no RAUMNov 28, 2017 to Nov 14, 2018 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseJan 26, 2015 to Nov 9, 2017 · St. Louis, Mo
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2019, registered Feb 13, 2023 (1252 days) · Wirehouse to wirehouse
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Nov 14, 2018, registered Dec 13, 2018 (29 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to D••••••• B••• S••••••••• I•••left Nov 9, 2017, registered Nov 28, 2017 (19 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address