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•• S•••• S••••••
- L••••• F••••••••• I••• BD affiliated currentsince Jul 23, 2015 · Bountiful, Ut
- J•• C•••••• A•••••••• L•• formerApr 11, 2012 to Jul 22, 2015 · Tampa, Fl
- P•••••• I••••••••• C••••••• L•• formerNov 1, 2007 to Apr 11, 2012 · Portland, Or
- I••••••••• M••••••••• C••••••••• unclassifiedSep 27, 2002 to Nov 23, 2007 · Bountiful, Ut
- P••••••••• E••••• G••••• L•• unclassifiedDec 9, 1994 to Aug 22, 2002 · Salt Lake City, Ut
- J•• C•••••• A•••••••• L•• to L••••• F••••••••• I•••left Jul 22, 2015, registered Jul 23, 2015 (1 days) · Other · moved with a team
- P•••••• I••••••••• C••••••• L•• to J•• C•••••• A•••••••• L••left Apr 11, 2012, registered Apr 11, 2012 (0 days) · Other
- I••••••••• M••••••••• C••••••••• to P•••••• I••••••••• C••••••• L••left Nov 23, 2007, registered Nov 1, 2007 (-22 days) · Other
- P••••••••• E••••• G••••• L•• to I••••••••• M••••••••• C•••••••••left Aug 22, 2002, registered Sep 27, 2002 (36 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address