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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Provo, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 30, 2021 to Mar 31, 2025 · American Fork, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 13, 2020 to Jun 22, 2021 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• formerJun 1, 2020 to Aug 14, 2020 · Arlington, Va
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 22, 2021, registered Sep 30, 2021 (100 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 14, 2020, registered Aug 13, 2020 (-1 days) · RIA 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address