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.
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- C••••• A••••••• G••••• L•• independent RIA currentsince Sep 4, 2026 · Clearwater, Fl
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 6, 2019 to Mar 31, 2025 · Raleigh, Nc
- C•••••• S••••• • C••• I••• national BDDec 11, 2018 to Nov 12, 2019 · Chapel Hill, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 19, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 3, 2017 to Jul 13, 2018 · Durham, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 12, 2019, registered Nov 6, 2019 (-6 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Nov 19, 2018, registered Dec 11, 2018 (22 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address