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••••• M••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 6, 2023 · South Jordan, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 11, 2019 to Mar 8, 2023 · Lehi, Ut
- T•• A•••••••• I••• BD affiliatedJun 24, 2016 to Dec 12, 2019 · South Jordan, Ut
- L•• F•••••••• L•• BD affiliatedSep 24, 2009 to Dec 18, 2009 · South Jordan, Ut
- W••••••••• W••••• M••••••••• L•• independent RIAJun 16, 2009 to Mar 11, 2016 · Arlington, Tx
- W••••••••• W••••• M••••••••• L•• independent RIAJun 20, 2005 to Mar 17, 2009 · Arlington, Tx
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJun 14, 2004 to Oct 13, 2009 · Arlington, Tx
- W• G••••••• S••••••••• I••• unclassifiedSep 1, 2000 to Jun 8, 2004 · Arlington, Tx
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 8, 2023, registered Mar 6, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- T•• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 12, 2019, registered Dec 11, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- W••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Mar 11, 2016, registered Sep 24, 2009 (-2360 days) · Other
- L•• F•••••••• L•• to T•• A•••••••• I•••left Dec 18, 2009, registered Jun 24, 2016 (2380 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to W••••••••• W••••• M••••••••• L••left Oct 13, 2009, registered Jun 20, 2005 (-1576 days) · Other
- W• G••••••• S••••••••• I••• to A••••••••• P••••••• I••••••••• A••••••• I••left Jun 8, 2004, registered Jun 14, 2004 (6 days) · Other
- S•••• D••••• M•••••••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-03-06)Mar 8, 2023 · 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address