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.
D••• L•••••• W•••••
- •••••••• independent RIA currentsince Mar 13, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 7, 2023 to Mar 18, 2025 · Charlotte, Nc
- N•••••••• B••••• B• L•• no RAUMOct 2, 2020 to May 31, 2023 · New York, Ny
- W•••• F•••• A••••••• to ••••••••left Mar 18, 2025, registered Mar 13, 2025 (-5 days) · Wirehouse to independent RIA · moved with a team
- N•••••••• B••••• B• L•• to W•••• F•••• A•••••••left May 31, 2023, registered Jun 7, 2023 (7 days) · Other
- D••• L•••••• W••••• left W•••• F•••• A••••••• for &Partners (registered 2025-03-13)Mar 18, 2025 · Advisor changed firm · fact
- D••• L•••••• W••••• left N•••••••• B••••• B• L•• for W•••• F•••• A••••••• (registered 2023-06-07)May 31, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address