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.
- D•••••• independent RIA currentsince Mar 5, 2018 · Salt Lake City, Ut
- Y••••••••• P••••••• formerSep 30, 2011 to Apr 3, 2018 · Salt Lake City, Ut
- Z•••• C•••••• A•••••••• I••• institutionalJan 12, 2006 to Sep 27, 2011 · Salt Lake City, Ut
- Z•••• D•••••• I••• unclassifiedOct 7, 2003 to Dec 31, 2006 · South Ogden, Ut
- W•••• F•••• I••••••••• L•• unclassifiedJan 6, 2003 to Oct 10, 2003 · Ogden, Ut
- S•••••••• A••••••• L•• national BDNov 9, 1999 to Jan 2, 2003 · Salt Lake City, Ut
- Y••••••••• P••••••• to D••••••left Apr 3, 2018, registered Mar 5, 2018 (-29 days) · Other · moved with a team
- Z•••• C•••••• A•••••••• I••• to Y••••••••• P•••••••left Sep 27, 2011, registered Sep 30, 2011 (3 days) · Other
- Z•••• D•••••• I••• to Z•••• C•••••• A•••••••• I•••left Dec 31, 2006, registered Jan 12, 2006 (-353 days) · Other
- W•••• F•••• I••••••••• L•• to Z•••• D•••••• I•••left Oct 10, 2003, registered Oct 7, 2003 (-3 days) · Other
- S•••••••• A••••••• L•• to W•••• F•••• I••••••••• L••left Jan 2, 2003, registered Jan 6, 2003 (4 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address