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•••••• R• S••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jun 18, 2025 · Minneapolis, Mn
- A••• I••••• A••••••• independent RIADec 6, 2024 to Jun 9, 2025 · Charlotte, Nc
- S••••••• C•••••• M••••••••• L•• otherFeb 6, 2020 to Nov 18, 2024 · Charlotte, Nc
- A••• I••••• A••••••• to T••••••• I••••••••• M••••••••• I•••left Jun 9, 2025, registered Jun 18, 2025 (9 days) · RIA to affiliated broker-dealer or bank
- S••••••• C•••••• M••••••••• L•• to A••• I••••• A•••••••left Nov 18, 2024, registered Dec 6, 2024 (18 days) · Other
- L•••••• R• S•••••• left A••• I••••• A••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2025-06-18)Jun 9, 2025 · Advisor changed firm · fact
- L•••••• R• S•••••• left S••••••• C•••••• M••••••••• L•• for A••• I••••• A••••••• (registered 2024-12-06)Nov 18, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address