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.
T••••• J• C•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 15, 2023 · St. Petersburg, Fl
- L•• F•••••••• L•• BD affiliatedJan 13, 2022 to Apr 13, 2022 · Land O Lakes, Fl
- I•• W••••• M••••••••• L•• BD affiliatedJan 3, 2022 to Dec 6, 2022 · Land O' Lakes, Fl
- I•• W••••• M••••••••• L•• to L•• F•••••••• L••left Dec 6, 2022, registered Jan 13, 2022 (-327 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 13, 2022, registered Feb 15, 2023 (308 days) · RIA to affiliated broker-dealer or bank
- T••••• J• C••••• left I•• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2022-01-13)Dec 6, 2022 · Advisor changed firm · fact
- T••••• J• C••••• left L•• F•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-02-15)Apr 13, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address