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.
G•••••• T••••• P••••••
- R•••• C•••••• A••••••• I••• independent RIA currentsince Apr 17, 2019 · Sarasota, Fl
- T••••••••• C•••••• L•• independent RIAFeb 9, 2018 to Feb 5, 2019 · Sarasota, Fl
- T••••••••• C•••••• L•• formerMay 13, 2011 to Mar 13, 2018 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 13, 2010 · Bradenton, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 9, 2001 to Oct 10, 2009 · Bradenton, Fl
- T••••••••• C•••••• L•• to R•••• C•••••• A••••••• I•••left Feb 5, 2019, registered Apr 17, 2019 (71 days) · RIA to a newly registered adviser
- T••••••••• C•••••• L•• to T••••••••• C•••••• L••left Mar 13, 2018, registered Feb 9, 2018 (-32 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T••••••••• C•••••• L••left May 13, 2010, registered May 13, 2011 (365 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Jan 2, 2009 (-281 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address