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.
A••••• R•••••• H••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 18, 2026 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedApr 6, 2020 to Jul 24, 2026 · Fort Mill, Sc
- U•• F•••••••• S••••••• I••• wirehouseNov 12, 2013 to Apr 8, 2020 · Charlotte, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 22, 2013 to Oct 16, 2013 · Greensboro, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 2011 to Mar 7, 2012 · Charlotte, Nc
- E••••• J•••• national BDJun 9, 2009 to Mar 15, 2011 · Maryland Heights, Mo
- E••••• J•••• national BDAug 26, 2008 to Feb 20, 2009 · St Louis, Mo
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jul 24, 2026, registered Sep 18, 2026 (56 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Apr 8, 2020, registered Apr 6, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- V•••• F•••••••• A•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 16, 2013, registered Nov 12, 2013 (27 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Mar 7, 2012, registered Jul 22, 2013 (502 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 15, 2011, registered Jul 19, 2011 (126 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• R•••••• H•••• registered as an investment adviser representative at W•••• F•••• A•••••••Sep 18, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address