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.
C••••••••• J••• T•••••
- V••••••• A•••••••• I••• BD affiliated currentsince Mar 25, 2026 · Charlotte, Nc
- M••••• S•••••• wirehouseApr 1, 2020 to May 5, 2023 · Charlotte, Nc
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Feb 25, 2020 · Charlotte, Nc
- Q•••••• A•••• M••••••••• I••• formerJul 16, 2018 to Mar 1, 2019 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerSep 26, 2014 to Oct 22, 2014 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMFeb 5, 2013 to Jul 11, 2013 · Charlotte, Nc
- C••••• A••••••• L•• formerNov 15, 2012 to Feb 12, 2013 · Mt Pleasant, Sc
- M••••• S•••••• to V••••••• A•••••••• I•••left May 5, 2023, registered Mar 25, 2026 (1055 days) · Wirehouse to affiliated broker-dealer or bank
- W••••••• F•••••••• S•••••••• I••• to M••••• S••••••left Feb 25, 2020, registered Apr 1, 2020 (36 days) · Affiliated broker-dealer or bank to wirehouse
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Oct 22, 2014, registered Jul 16, 2018 (1363 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 11, 2013, registered Sep 26, 2014 (442 days) · Other
- C••••• A••••••• L•• to P•••• S••••••••• L••left Feb 12, 2013, registered Feb 5, 2013 (-7 days) · Other
- C••••••••• J••• T••••• left M••••• S•••••• for V••••••• A•••••••• I••• (registered 2026-03-25)May 5, 2023 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address