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.
T••• I•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 24, 2025 · Cincinnati, Oh
- D•••••• L••• S••••• L•• formerJan 6, 2026 to Apr 30, 2026 · Rome, Ga
- D•••••• L••• S••••• L•• formerApr 11, 2022 to Dec 31, 2025 · Rome, Ga
- P•••••• 7• C•••••• independent RIAJan 8, 2021 to Dec 9, 2022 · Houston, Tx
- S••••••••• W••••• M••••••••• L•• formerAug 5, 2019 to Dec 31, 2020 · Cincinnati, Oh
- E••••• J•••• national BDFeb 3, 2014 to Aug 7, 2019 · Covington, Ky
- D•••••• L••• S••••• L•• to no registered destinationleft Apr 30, 2026 · Departure, no registered destination
- D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2025, registered Nov 24, 2025 (-37 days) · corporate re-registration, not a move
- P•••••• 7• C•••••• to D•••••• L••• S••••• L••left Dec 9, 2022, registered Apr 11, 2022 (-242 days) · RIA to RIA · moved with a team
- S••••••••• W••••• M••••••••• L•• to P•••••• 7• C••••••left Dec 31, 2020, registered Jan 8, 2021 (8 days) · RIA to RIA · moved with a team
- E••••• J•••• to S••••••••• W••••• M••••••••• L••left Aug 7, 2019, registered Aug 5, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- T••• I••• no longer registered at D•••••• L••• S••••• L••; no later IA registration on IAPDApr 30, 2026 · Advisor departure · fact
- T••• I••• left P•••••• 7• C•••••• for D•••••• L••• S••••• L•• (registered 2022-04-11)Dec 9, 2022 · 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