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.
J••• M••••• W•••••
- S••••• I••••••••• A•••••••• L•• i••••••••• wealth currentsince May 22, 2018 · Salt Lake City, Ut
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 7, 2014 to Apr 13, 2018 · Eagle, Id
- C••••••• P••••••• i••••••••• wealthSep 6, 2011 to Apr 25, 2014 · North Salt Lake, Ut
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedJun 27, 2006 to Mar 30, 2007 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDMay 13, 2002 to Nov 2, 2009 · Boston, Ma
- I••••••••• F•••••••• G••••• L•• to S••••• I••••••••• A•••••••• L••left Apr 13, 2018, registered May 22, 2018 (39 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• P••••••• to I••••••••• F•••••••• G••••• L••left Apr 25, 2014, registered May 7, 2014 (12 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Nov 2, 2009, registered Jun 27, 2006 (-1224 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to C••••••• P•••••••left Mar 30, 2007, registered Sep 6, 2011 (1621 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address