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.
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J••• C••••••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Winston-Salem, Nc
- C••• F•••••••• S•••••••• L••• formerApr 29, 2022 to May 15, 2025 · High Point, Nc
- W•••• F•••• A••••••• wirehouseMay 18, 2018 to Apr 19, 2022 · Greensboro, Nc
- S•••••••• I••••••••• M••••••••• formerAug 3, 2017 to Mar 8, 2018 · Saint Louis, Mo
- P•• W••••• M••••••••• BD affiliatedDec 11, 2012 to Aug 2, 2013 · Winston-Salem, Nc
- B••• I••••••••• S•••••••• I••• formerMay 10, 2011 to Dec 4, 2012 · Winston Salem, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to May 12, 2011 · Greensboro, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 26, 2009 to Jun 1, 2009 · Greensboro, Nc
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Apr 19, 2022, registered Apr 29, 2022 (10 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Mar 8, 2018, registered May 18, 2018 (71 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••left Aug 2, 2013, registered Aug 3, 2017 (1462 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Dec 4, 2012, registered Dec 11, 2012 (7 days) · Other
- M••••• S•••••• to B••• I••••••••• S•••••••• I•••left May 12, 2011, registered May 10, 2011 (-2 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••• C••••••••• M•••••• left W•••• F•••• A••••••• for C••• F•••••••• S•••••••• L••• (registered 2022-04-29)Apr 19, 2022 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address