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.
D•••• C•••••• P•••••••
- S••••• W••••• M••••••••• independent RIA currentsince Apr 23, 2026 · Rockford, Il
- E••••••• W••••• A••••••• formerJun 9, 2020 to Apr 30, 2026 · Oklahoma City, Ok
- W••••••••• W••••• M••••••••• L•• formerApr 30, 2019 to Jul 10, 2020 · Huntersville, Nc
- C•••••• S••••• • C••• I••• national BDOct 17, 2016 to May 21, 2019 · Charlotte, Nc
- S•••••••• A••••••• L•• national BDNov 15, 2012 to Oct 6, 2016 · Tysons Corner, Va
- W•••• F•••• A••••••• wirehouseMay 22, 2012 to Sep 26, 2012 · Myrtle Beach, Sc
- S•••••••• A••••••• L•• national BDSep 1, 2011 to May 10, 2012 · Jacksonville, Fl
- E••••••• W••••• A••••••• to S••••• W••••• M•••••••••left Apr 30, 2026, registered Apr 23, 2026 (-7 days) · corporate re-registration, not a move
- W••••••••• W••••• M••••••••• L•• to E••••••• W••••• A•••••••left Jul 10, 2020, registered Jun 9, 2020 (-31 days) · RIA to RIA · moved with a team
- C•••••• S••••• • C••• I••• to W••••••••• W••••• M••••••••• L••left May 21, 2019, registered Apr 30, 2019 (-21 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 6, 2016, registered Oct 17, 2016 (11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Sep 26, 2012, registered Nov 15, 2012 (50 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left May 10, 2012, registered May 22, 2012 (12 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address