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••••• J•••• national BD currentsince Sep 8, 2025 · St. Louis, Mo
- A••••• F•••••••• A•••••••• L•• independent RIAApr 2, 2025 to Sep 9, 2025 · Charlotte, Nc
- A••••• F•••••••• A•••••••• L•• independent RIAAug 19, 2022 to Mar 21, 2025 · New Bern, Nc
- W•••• F•••• A••••••• wirehouseMar 7, 2019 to Aug 3, 2022 · New Bern, Nc
- A••••• F•••••••• A•••••••• L•• to E••••• J••••left Sep 9, 2025, registered Sep 8, 2025 (-1 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to A••••• F•••••••• A•••••••• L••left Aug 3, 2022, registered Aug 19, 2022 (16 days) · Wirehouse to independent RIA
- B•••• Z••••••• left A••••• F•••••••• A•••••••• L•• for E••••• J•••• (registered 2025-09-08)Sep 9, 2025 · Advisor changed firm · fact
- B•••• Z••••••• left W•••• F•••• A••••••• for A••••• F•••••••• A•••••••• L•• (registered 2022-08-19)Aug 3, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address