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.
L•••• J••• L•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 26, 2026 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseNov 14, 2025 to May 29, 2026 · Charlotte, Nc
- C••• F•••••••• S•••••••• L••• formerAug 29, 2024 to Jan 29, 2025 · Charlotte, Nc
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 29, 2026, registered Jun 26, 2026 (28 days) · Wirehouse to wirehouse
- C••• F•••••••• S•••••••• L••• to J••• M••••• S••••••••• L••left Jan 29, 2025, registered Nov 14, 2025 (289 days) · Affiliated broker-dealer or bank to wirehouse
- L•••• J••• L••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-06-26)May 29, 2026 · Advisor changed firm · fact
- L•••• J••• L••••• left C••• F•••••••• S•••••••• L••• for J••• M••••• S••••••••• L•• (registered 2025-11-14)Jan 29, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address