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.
D•••• L•••••• Z•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · St.Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 26, 2016 to Oct 9, 2024 · Lakewood Ranch, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 18, 2011 to Sep 12, 2016 · Sarasota, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 1, 2011 · Bradenton, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Bradenton, Fl
- M••••• S•••••• D• I••• unclassifiedJan 19, 2001 to Apr 2, 2007 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 9, 2024, registered Jan 1, 2025 (84 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 12, 2016, registered Sep 26, 2016 (14 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 1, 2011, registered Feb 18, 2011 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- D•••• L•••••• Z••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2025-01-01)Oct 9, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address