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.
K••••••• A•• D•••••••••
- P•• W••••• M••••••••• BD affiliated currentsince Oct 27, 2025 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedSep 12, 2018 to May 3, 2019 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedMar 12, 2018 to Jul 26, 2018 · Charlotte, Nc
- V•••••• A•••••••• I••• BD affiliatedOct 5, 2016 to Jan 6, 2017 · Cincinnati, Oh
- P••• A••••• S••••••••• L•• to P•• W••••• M•••••••••left May 3, 2019, registered Oct 27, 2025 (2369 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to P••• A••••• S••••••••• L••left Jul 26, 2018, registered Sep 12, 2018 (48 days) · Affiliated broker-dealer or bank to another
- V•••••• A•••••••• I••• to P•• W••••• M•••••••••left Jan 6, 2017, registered Mar 12, 2018 (430 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
- 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