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.
J•••• B•••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2016 · St George, Ut
- T•••••••• W••••• independent RIAMay 12, 2016 to Jun 30, 2016 · Salt Lake City, Ut
- F•••••••• W••••• M••••••••• L•• formerDec 15, 2015 to May 11, 2016 · Draper, Ut
- H•••••• T••••••• • K•••• L•• independent RIAAug 9, 2004 to Oct 2, 2015 · Holladay, Ut
- N•• E•••••• S••••••••• C••••••••• formerJun 11, 2003 to Aug 13, 2004 · South Jordan, Ut
- P•••••••• S••••••••• I••• BD affiliatedMar 1, 2000 to Jun 4, 2003 · Midvale, Ut
- T•••••••• W••••• to L•• F•••••••• L••left Jun 30, 2016, registered Jul 19, 2016 (19 days) · Other
- F•••••••• W••••• M••••••••• L•• to T•••••••• W•••••left May 11, 2016, registered May 12, 2016 (1 days) · Other
- H•••••• T••••••• • K•••• L•• to F•••••••• W••••• M••••••••• L••left Oct 2, 2015, registered Dec 15, 2015 (74 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left Aug 13, 2004, registered Aug 9, 2004 (-4 days) · Other
- P•••••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Jun 4, 2003, registered Jun 11, 2003 (7 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