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.
L••• A•• P••••••• T••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Mar 31, 2022 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseMay 13, 2008 to Mar 4, 2022 · Salt Lake City, Ut
- U•• F•••••••• S••••••• I••• wirehouseAug 15, 2006 to Mar 31, 2008 · Salt Lake Cit, Ut
- W•••• F•••• A••••••• to I••••••••• A••••• I••••••••• M••••••••• L••left Mar 4, 2022, registered Mar 31, 2022 (27 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 31, 2008, registered May 13, 2008 (43 days) · Wirehouse to wirehouse
- L••• A•• P••••••• T•••••• left W•••• F•••• A••••••• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2022-03-31)Mar 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address