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.
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D•••• T••••• R••
- M••••••••• I••••••••• M••••••••• L•• mixed wealth currentsince Jan 24, 2023 · Centerville, Ut
- C••••••• institutionalApr 16, 2020 to Oct 26, 2022 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseJun 19, 2019 to Sep 10, 2019 · Salt Lake, Ut
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 27, 2017 to Oct 13, 2017 · Salt Lake City, Ut
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedJan 14, 2014 to Dec 31, 2016 · North Salt Lake, Ut
- S•••••••• A••••••• L•• national BDNov 5, 2012 to Jan 11, 2013 · Salt Lake City, Ut
- C••••••• to M••••••••• I••••••••• M••••••••• L••left Oct 26, 2022, registered Jan 24, 2023 (90 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••left Sep 10, 2019, registered Apr 16, 2020 (219 days) · Other
- V•••• F•••••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Oct 13, 2017, registered Jun 19, 2019 (614 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 31, 2016, registered Apr 27, 2017 (117 days) · Other
- S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Jan 11, 2013, registered Jan 14, 2014 (368 days) · Other
- D•••• T••••• R•• left Captrust for M••••••••• I••••••••• M••••••••• L•• (registered 2023-01-24)Oct 26, 2022 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address