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.
- L•• F•••••••• L•• BD affiliated currentsince Sep 16, 2024 · Lehi, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 3, 2017 to Sep 18, 2024 · Clearfield, Ut
- M•• F•••••••• S•••••••• I••• formerOct 30, 2002 to Feb 8, 2017 · Clearfield, Ut
- E•• F•••••••• A••••••• independent RIADec 10, 2001 to Aug 7, 2002 · Layton, Ut
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 18, 2024, registered Sep 16, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 8, 2017, registered Feb 3, 2017 (-5 days) · Other
- E•• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••left Aug 7, 2002, registered Oct 30, 2002 (84 days) · Other
- D•••• J• H••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-09-16)Sep 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address