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.
G•••••• S•••• H••••••
- M•••••• BD affiliated currentsince Jan 16, 2026 · Highlands Ranch, Co
- E•••••• A••••••• G••••• L•• BD affiliatedJul 23, 2020 to Jan 6, 2026 · Westminster, Co
- L•• F•••••••• L•• BD affiliatedApr 10, 2018 to Jun 29, 2020 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseSep 8, 2017 to Jan 5, 2018 · Charlotte, Nc
- E•••••• A••••••• G••••• L•• to M••••••left Jan 6, 2026, registered Jan 16, 2026 (10 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Jun 29, 2020, registered Jul 23, 2020 (24 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 5, 2018, registered Apr 10, 2018 (95 days) · Wirehouse to independent RIA
- G•••••• S•••• H•••••• left E•••••• A••••••• G••••• L•• for Mariner (registered 2026-01-16)Jan 6, 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
- 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