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•••• C•••••• S••••••
- P••••••• W••••• G••••• L•• independent RIA currentsince Apr 17, 2023 · Provo, Ut
- T••••••••• C••••••• L•• asset managerJan 4, 2019 to Jun 23, 2023 · American Fork, Ut
- L•• F•••••••• L•• BD affiliatedOct 29, 2003 to Jan 23, 2019 · Alpine, Ut
- N•• E•••••• S••••••••• C••••••••• formerJan 14, 2003 to Oct 28, 2003 · South Jordan, Ut
- T••••••••• C••••••• L•• to P••••••• W••••• G••••• L••left Jun 23, 2023, registered Apr 17, 2023 (-67 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to T••••••••• C••••••• L••left Jan 23, 2019, registered Jan 4, 2019 (-19 days) · RIA to RIA
- N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 28, 2003, registered Oct 29, 2003 (1 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