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.
N••••••• T••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 21, 2026 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedOct 15, 2025 to Jun 4, 2026 · Jacksonville, Nc
- G••••••• A•••••••• L•• independent RIAApr 11, 2024 to Oct 16, 2025 · Wilmington, Nc
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 4, 2026, registered Jul 21, 2026 (47 days) · Affiliated broker-dealer or bank to wirehouse
- G••••••• A•••••••• L•• to L•• F•••••••• L••left Oct 16, 2025, registered Oct 15, 2025 (-1 days) · RIA to affiliated broker-dealer or bank
- N••••••• T•••••••• left L•• F•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-07-21)Jun 4, 2026 · Advisor changed firm · fact
- N••••••• T•••••••• left G••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-10-15)Oct 16, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address