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.
R•••••• H• T•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 12, 2011 · South Jordan, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 8, 2005 to Jul 5, 2011 · Salt Lake City, Ut
- M•••••• A•••• M••••••••• L•• formerJan 25, 2005 to Jul 12, 2011 · Salt Lake City, Ut
- M•••••• A•••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 12, 2011, registered Mar 8, 2005 (-2317 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 5, 2011, registered Jul 12, 2011 (7 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address