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.
R••• N••••• L•••••
- C••••• • A••••••••• I••• independent RIA currentsince Oct 15, 2019 · Tampa, Fl
- S• A•••••••• L•• independent RIAJan 6, 2016 to Oct 8, 2019 · Atlanta, Ga
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerFeb 25, 2011 to Dec 3, 2015 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedApr 14, 2010 to Feb 28, 2011 · Naples, Fl
- G•••••••• F••••••••• I•• unclassifiedDec 8, 2006 to Mar 30, 2010 · Winter Garden, Fl
- S• A•••••••• L•• to C••••• • A••••••••• I•••left Oct 8, 2019, registered Oct 15, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to S• A•••••••• L••left Dec 3, 2015, registered Jan 6, 2016 (34 days) · Other
- L•• F•••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Feb 28, 2011, registered Feb 25, 2011 (-3 days) · Other
- G•••••••• F••••••••• I•• to L•• F•••••••• L••left Mar 30, 2010, registered Apr 14, 2010 (15 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address