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.
S•••• P•••••• L••
- I••••••••• P•••••••• I••• independent RIA currentsince Aug 6, 2025 · Cornelius, Nc
- A•••••••• C•••••• M••••••••• independent RIAMar 17, 2021 to Aug 5, 2025 · Cornelius, Nc
- M•••••••• A•••• M••••••••• L•• independent RIADec 7, 2020 to Feb 11, 2021 · Cornelius, Nc
- B••••••••• C•••••• M••••••••• L•• independent RIAAug 27, 2012 to Mar 18, 2021 · Huntersville, Nc
- A•••••••• C•••••• M••••••••• independent RIAJun 22, 2011 to Aug 27, 2012 · Huntersville, Nc
- R•••• I••••••••• A••••••• L•• BD affiliatedFeb 16, 2011 to Jun 22, 2011 · Huntersville, Nc
- A•••••••• C•••••• M••••••••• to I••••••••• P•••••••• I•••left Aug 5, 2025, registered Aug 6, 2025 (1 days) · RIA to a newly registered adviser · moved with a team
- B••••••••• C•••••• M••••••••• L•• to M•••••••• A•••• M••••••••• L••left Mar 18, 2021, registered Dec 7, 2020 (-101 days) · RIA to a newly registered adviser
- M•••••••• A•••• M••••••••• L•• to A•••••••• C•••••• M•••••••••left Feb 11, 2021, registered Mar 17, 2021 (34 days) · RIA to RIA · moved with a team
- A•••••••• C•••••• M••••••••• to B••••••••• C•••••• M••••••••• L••left Aug 27, 2012, registered Aug 27, 2012 (0 days) · Other
- R•••• I••••••••• A••••••• L•• to A•••••••• C•••••• M•••••••••left Jun 22, 2011, registered Jun 22, 2011 (0 days) · Other
- S•••• P•••••• L•• left A•••••••• C•••••• M••••••••• for I••••••••• P•••••••• I••• (registered 2025-08-06)Aug 5, 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address