RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Provo, Ut
• S•••••••• F••••••••• I••• former
  Sep 4, 2018 to Sep 1, 2023 · Lehi, Ut
• N••• F•••••••• G••••• I••• former
  Jan 10, 2005 to Sep 6, 2018 · Lehi, Ut
• M••• S••••••••• C••••••••• unclassified
  Dec 2, 2003 to Dec 31, 2004 · Lehi, Ut
• T•••••• S••••••••• A••••••• C•••• unclassified
  Oct 4, 2002 to Dec 2, 2003 · Lehi, Ut
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  May 23, 2000 to Aug 7, 2002 · Orem, Ut

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
  left Sep 6, 2018, registered Sep 4, 2018 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
• M••• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••
  left Dec 31, 2004, registered Jan 10, 2005 (10 days) · Other
• T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••
  left Dec 2, 2003, registered Dec 2, 2003 (0 days) · Other
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• S••••••••• A••••••• C••••
  left Aug 7, 2002, registered Oct 4, 2002 (58 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address