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.
S•••• M• J•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 21, 2017 · Tampa, Fl
- L•• F•••••••• L•• BD affiliatedSep 23, 2015 to Jan 19, 2016 · Tampa, Fl
- J•• C•••••• A•••••••• L•• formerJan 26, 2011 to Jul 10, 2015 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2008 to Jan 20, 2009 · Tampa
- J•• C•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 10, 2015, registered Sep 23, 2015 (75 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J•• C•••••• A•••••••• L••left Jan 20, 2009, registered Jan 26, 2011 (736 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address