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.
J••• L••• B•••• S••••
- A••••• P•••• F•••••••• P••••••• L•• state registered currentsince Jun 29, 2026 · West End, Nc
- I• N••••••• L•• independent RIAJul 28, 2022 to Jan 30, 2026 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Jul 28, 2022 · Pinehurst, Nc
- F•••• A••••• A••••••• S•••••••• I••• formerApr 23, 2019 to Nov 12, 2020 · Pinehurst, Nc
- P•• W••••• M••••••••• BD affiliatedDec 3, 2012 to Apr 28, 2017 · Pinehurst, Nc
- W•••• F•••• A••••••• wirehouseJun 26, 2009 to Dec 8, 2010 · Raleigh, Nc
- I• N••••••• L•• to A••••• P•••• F•••••••• P••••••• L••left Jan 30, 2026, registered Jun 29, 2026 (150 days) · RIA to a state-registered adviser
- C••••• I••••••••• A••••••• L•• to I• N••••••• L••left Jul 28, 2022, registered Jul 28, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F•••• A••••• A••••••• S•••••••• I•••left Apr 28, 2017, registered Apr 23, 2019 (725 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Dec 8, 2010, registered Dec 3, 2012 (726 days) · Other
- J••• L••• B•••• S•••• left I• N••••••• L•• for A••••• P•••• F•••••••• P••••••• L•• (registered 2026-06-29)Jan 30, 2026 · Advisor changed firm · fact
- J••• L••• B•••• S•••• left C••••• I••••••••• A••••••• L•• for I• N••••••• L•• (registered 2022-07-28)Jul 28, 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address