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.
S•••• D•••••• P•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jan 17, 2007 · Salt Lake City, Ut
- S••••• I••••••••• A••••••• C•••• unclassifiedJun 4, 2004 to Aug 17, 2004 · Norcross, Ga
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Jun 1, 2004 · Des Moines, Ia
- L••••• S••••• S••••••••• I••• unclassifiedSep 19, 2002 to Jan 1, 2004 · Salt Lake City, Ut
- V••••• S••••••••• C••••••••• unclassifiedMar 1, 2001 to Aug 30, 2002 · Salt Lake City, Ut
- S••••• I••••••••• A••••••• C•••• to C•••••••• F••••••••• I•••left Aug 17, 2004, registered Jan 17, 2007 (883 days) · Other
- V••• F•••••••• A•••••••• I••• to S••••• I••••••••• A••••••• C••••left Jun 1, 2004, registered Jun 4, 2004 (3 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- V••••• S••••••••• C••••••••• to L••••• S••••• S••••••••• I•••left Aug 30, 2002, registered Sep 19, 2002 (20 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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address