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•••• S•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince May 5, 2026 · Wilmington , Nc
- J••• M••••• S••••••••• L•• wirehouseAug 6, 2025 to Apr 14, 2026 · Charlotte, Nc
- F•••••• F•••••••• A•••••••• L•• BD affiliatedMay 7, 2025 to May 21, 2025 · Charlotte, Nc
- J••• M••••• S••••••••• L•• to E•••••• F•••••••• E••••••left Apr 14, 2026, registered May 5, 2026 (21 days) · Wirehouse to independent RIA
- F•••••• F•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left May 21, 2025, registered Aug 6, 2025 (77 days) · Affiliated broker-dealer or bank to wirehouse
- L•••• S••••• left J••• M••••• S••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-05-05)Apr 14, 2026 · Advisor changed firm · fact
- L•••• S••••• left F•••••• F•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-08-06)May 21, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address