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•••• D•••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 7, 2025 · Rock Hill, Sc
- A••••• F•••••••• A•••••••• L•• independent RIAJan 8, 2015 to Sep 25, 2025 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseMay 7, 2014 to Dec 3, 2014 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedOct 10, 2013 to Apr 22, 2014 · Fort Mill, Sc
- A••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Sep 25, 2025, registered Oct 7, 2025 (12 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to A••••• F•••••••• A•••••••• L••left Dec 3, 2014, registered Jan 8, 2015 (36 days) · Other
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 22, 2014, registered May 7, 2014 (15 days) · Other
- A•••• D•••• K•••• left A••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-10-07)Sep 25, 2025 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address