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.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerApr 10, 2018 to Sep 5, 2023 · Sandy, Ut
- A••••• A•• P••••••• S••••••• BD affiliatedAug 30, 2013 to Mar 18, 2018 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedAug 2, 2010 to Nov 8, 2010 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDJul 30, 2001 to Aug 25, 2009 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to E•••••• C•••••• M••••••••• L••left Mar 18, 2018, registered Apr 10, 2018 (23 days) · Other
- W•••• F•••• I••••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 8, 2010, registered Aug 30, 2013 (1026 days) · Other
- S•••••••• A••••••• L•• to W•••• F•••• I••••••••• L••left Aug 25, 2009, registered Aug 2, 2010 (342 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address