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.
J••••••• T••• L•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 1, 2016 · Tampa, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedDec 7, 2012 to Sep 26, 2013 · Orlando, Fl
- N•••••• I••• independent RIANov 7, 2011 to Apr 24, 2013 · Tampa, Fl
- P•••••• W••• F•••••••• C••••••••• I•• formerMar 4, 2010 to Mar 16, 2011 · Tampa, Fl
- C••••••• A•••• M••••••••• I•• unclassifiedApr 18, 2005 to Oct 29, 2009 · Montgomery, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2003 to Mar 3, 2005 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 2, 1999 to Nov 13, 2003 · St. Petersburg, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Sep 26, 2013, registered Dec 1, 2016 (1162 days) · Other
- N•••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left Apr 24, 2013, registered Dec 7, 2012 (-138 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to N•••••• I•••left Mar 16, 2011, registered Nov 7, 2011 (236 days) · Other
- C••••••• A•••• M••••••••• I•• to P•••••• W••• F•••••••• C••••••••• I••left Oct 29, 2009, registered Mar 4, 2010 (126 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• A•••• M••••••••• I••left Mar 3, 2005, registered Apr 18, 2005 (46 days) · Other
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 13, 2003, registered Dec 4, 2003 (21 days) · Affiliated broker-dealer or bank to wirehouse
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address