DFX Intelligence

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.

Registered advisor

Lauren Grames

Independent Advisor Alliance, LLCindependent RIACharlotte, Ncdual registrantIAPD 6758364

Feed of 09/14/2026

Also filed as Lauren Taylor Baker

At current firm

1 y

since Feb 17, 2025

In the industry

11 y

since Sep 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Independent Advisor Alliance, LLC independent RIA current
since Feb 17, 2025 · Charlotte, Nc
Esi Financial Advisors independent RIA
Dec 6, 2023 to Oct 31, 2024 · Charlotte, Nc
W&S Brokerage Services, Inc. BD affiliated
Aug 10, 2023 to Dec 1, 2023 · Charlotte, Nc
Mutual Of Omaha Investor Services, Inc. independent RIA
Nov 3, 2020 to Jul 11, 2023 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

Esi Financial Advisors to Independent Advisor Alliance, LLC
left Oct 31, 2024, registered Feb 17, 2025 (109 days) · RIA to RIA
W&S Brokerage Services, Inc. to Esi Financial Advisors
left Dec 1, 2023, registered Dec 6, 2023 (5 days) · Affiliated broker-dealer or bank to independent RIA
Mutual Of Omaha Investor Services, Inc. to W&S Brokerage Services, Inc.
left Jul 11, 2023, registered Aug 10, 2023 (30 days) · RIA to affiliated broker-dealer or bank

Signals

Lauren Grames left Esi Financial Advisors for Independent Advisor Alliance, Llc (registered 2025-02-17)
Oct 31, 2024 · Advisor changed firm · fact
Lauren Grames left W&S Brokerage Services, Inc. for Esi Financial Advisors (registered 2023-12-06)
Dec 1, 2023 · Advisor changed firm · fact
Lauren Grames left Mutual Of Omaha Investor Services, Inc. for W&S Brokerage Services, Inc. (registered 2023-08-10)
Jul 11, 2023 · Advisor changed firm · fact

Transition signals

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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address