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.
M•••••• D••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 16, 2026 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseJun 28, 2019 to May 7, 2026 · Wilmington, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Jun 28, 2019 · Wilson, Nc
- B••• I••••••••• S•••••••• I••• formerJan 12, 2016 to Jan 2, 2018 · Charlotte, Nc
- E••••• J•••• national BDJul 7, 2014 to Dec 3, 2015 · Greenville, Nc
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left May 7, 2026, registered Jun 16, 2026 (40 days) · Wirehouse to wirehouse · moved with a team
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 28, 2019, registered Jun 28, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Dec 3, 2015, registered Jan 12, 2016 (40 days) · Other
- M•••••• D•••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2026-06-16)May 7, 2026 · 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address