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•••• D• S•••••
- P••••••••• F•••••••• P•••••••• L•• independent RIA currentsince Oct 5, 2017 · Layton, Ut
- B•• P•••••••• I••• BD affiliatedJan 23, 2014 to Sep 27, 2017 · Layton, Ut
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 29, 2008 to Dec 10, 2013 · Layton, Ut
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 11, 2002 to Feb 28, 2008 · Palm Beach Gardens, Fl
- B•• P•••••••• I••• to P••••••••• F•••••••• P•••••••• L••left Sep 27, 2017, registered Oct 5, 2017 (8 days) · Other · moved with a team
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Dec 10, 2013, registered Jan 23, 2014 (44 days) · Other
- M•••• C••••••• A••••••• S•••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Feb 28, 2008, registered Feb 29, 2008 (1 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address