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.
E••• M•••••• T•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mint Hill, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 19, 2021 to Mar 31, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 19, 2018 to Mar 11, 2021 · Charlotte, Nc
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAAug 31, 2016 to Mar 29, 2018 · Scottsdale, Az
- 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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 11, 2021, registered Mar 19, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to W•••• F•••• A•••••••left Mar 29, 2018, registered Jun 19, 2018 (82 days) · Other
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