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.
- E••••• J•••• national BD currentsince Oct 2, 2023 · Sandy, Ut
- K••••• T••••• M••••••••• L•• independent RIAApr 20, 2007 to Mar 5, 2024 · Orem, Ut
- W•••• F•••• I••••••••• L•• unclassifiedAug 16, 2005 to Apr 19, 2007 · Salt Lake City, Ut
- Z•••• D•••••• I••• unclassifiedMay 6, 2005 to Aug 16, 2005 · Draper, Ut
- K••••• T••••• M••••••••• L•• to E••••• J••••left Mar 5, 2024, registered Oct 2, 2023 (-155 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to K••••• T••••• M••••••••• L••left Apr 19, 2007, registered Apr 20, 2007 (1 days) · Other
- Z•••• D•••••• I••• to W•••• F•••• I••••••••• L••left Aug 16, 2005, registered Aug 16, 2005 (0 days) · Other
- A•• J• M•••• left K••••• T••••• M••••••••• L•• for E••••• J•••• (registered 2023-10-02)Mar 5, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address