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.
- N•• E••• W••••• BD affiliated currentsince May 24, 2021 · Park City, Ut
- U•• F•••••••• S••••••• I••• wirehouseJul 3, 2008 to May 19, 2021 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseMar 30, 2006 to Jul 11, 2008 · New York, Ny
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left May 19, 2021, registered May 24, 2021 (5 days) · Wirehouse to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 11, 2008, registered Jul 3, 2008 (-8 days) · Wirehouse to wirehouse
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address