DFX Intelligence
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.
Registered advisor
Bradford Lee Rowbotham
Feed of 09/14/2026
Also filed as Brad Rowbotham
At current firm
5 y
since Dec 2, 2020
In the industry
20 y
since May 30, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Nuveen Asset Management, LLC mixed wealth currentsince Dec 2, 2020 · Chicago, Il
- Clearbridge Investments, LLC mixed wealthNov 29, 2010 to Oct 12, 2020 · New York, Ny
- Td Ameritrade Investment Management, LLC formerJan 12, 2010 to Nov 11, 2010 · New York City, Ny
- Td Ameritrade, Inc. formerJan 12, 2010 to Nov 11, 2010 · New York, Ny
- Chase Investment Services Corp. formerMay 21, 2007 to Dec 16, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Clearbridge Investments, LLC to Nuveen Asset Management, LLCleft Oct 12, 2020, registered Dec 2, 2020 (51 days) · RIA to RIA · moved with a team
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Nov 11, 2010, registered Jan 12, 2010 (-303 days) · channel change inside one enterprise, not a move
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Nov 11, 2010, registered Jan 12, 2010 (-303 days) · Other
- Chase Investment Services Corp. to Td Ameritrade Investment Management, LLCleft Dec 16, 2009, registered Jan 12, 2010 (27 days) · Other
Signals
No dated event on this person.
Transition signals
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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address