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.
N••• M• B••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Dec 18, 2024 · Salt Lake City, Ut
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 3, 2019 · Salt Lake City, Ut
- H•••••••• A•••••••• L•• BD affiliatedNov 7, 2008 to Sep 12, 2018 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 10, 2008 · Salt Lake City, Ut
- M••••• S•••••• D• I••• unclassifiedNov 29, 1991 to Apr 2, 2007 · Salt Lake Cy, Ut
- H•••••••• A•••••••• L•• to R••••••••• C•••••• M•••••••••left Sep 12, 2018, registered Jun 3, 2019 (264 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• • C•• L•• to H•••••••• A•••••••• L••left Nov 10, 2008, registered Nov 7, 2008 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address