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.
D•••• J•••••• C••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 9, 2026 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJan 7, 2025 to Aug 26, 2026 · Charlotte, Nc
- D••••••• C•••••• independent RIAApr 15, 2024 to Oct 24, 2024 · Charlotte, Nc
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Aug 26, 2026, registered Sep 9, 2026 (14 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• C•••••• to W•••• F•••• A•••••••left Oct 24, 2024, registered Jan 7, 2025 (75 days) · RIA to wirehouse
- D•••• J•••••• C•• left W•••• F•••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2026-09-09)Aug 26, 2026 · Advisor changed firm · fact
- D•••• J•••••• C•• left D••••••• C•••••• for W•••• F•••• A••••••• (registered 2025-01-07)Oct 24, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address