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.
B••• W• H•••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Jun 27, 2019 · Cottonwood Heights, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 20, 2017 to Feb 7, 2019 · Lehi, Ut
- O••••••••• S••••••••• I••• BD affiliatedJun 11, 2015 to Feb 15, 2017 · Cottonwood Heights, Ut
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAOct 10, 2014 to Jun 12, 2015 · Sandy, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 20, 2001 to Jul 19, 2013 · Logan, Ut
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Feb 7, 2019, registered Jun 27, 2019 (140 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 15, 2017, registered Apr 20, 2017 (64 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Jun 12, 2015, registered Jun 11, 2015 (-1 days) · Other
- M•• I•••••••• S•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Jul 19, 2013, registered Oct 10, 2014 (448 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address