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.
C••••• C•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 20, 2025 · Fort Mill, Sc
- A••• I••••• A••••••• independent RIAOct 7, 2021 to Oct 2, 2024 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedOct 5, 2020 to Jul 16, 2021 · Scottsdale, Az
- A••• I••••• A••••••• to L•• F•••••••• L••left Oct 2, 2024, registered Mar 20, 2025 (169 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to A••• I••••• A•••••••left Jul 16, 2021, registered Oct 7, 2021 (83 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• C••• left A••• I••••• A••••••• for L•• F•••••••• L•• (registered 2025-03-20)Oct 2, 2024 · 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