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.
A•••• S•••••• W•••••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jan 29, 2026 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMar 13, 2025 to Jan 26, 2026 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedOct 11, 2018 to Jan 10, 2025 · Charlotte, Nc
- L•• F•••••••• L•• to V••••••• A•••••••• I•••left Jan 26, 2026, registered Jan 29, 2026 (3 days) · Affiliated broker-dealer or bank to another
- V••••••• A•••••••• I••• to L•• F•••••••• L••left Jan 10, 2025, registered Mar 13, 2025 (62 days) · Affiliated broker-dealer or bank to another
- A•••• S•••••• W••••••••• left L•• F•••••••• L•• for V••••••• A•••••••• I••• (registered 2026-01-29)Jan 26, 2026 · Advisor changed firm · fact
- A•••• S•••••• W••••••••• left V••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-03-13)Jan 10, 2025 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address