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.
S••••• C•••• A••••
- A•••• W••••• A••••••• independent RIA currentsince Sep 12, 2017 · Logan, Ut
- A•••••• I••••••••• A•••••••• L•• formerJun 26, 2015 to Oct 2, 2017 · Logan, Ut
- S•••••• W••••• P•••••••• L•• BD affiliatedJun 15, 2012 to Jun 29, 2015 · Logan, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 14, 2012 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 26, 2001 to Jun 1, 2009 · Logan, Ut
- A•••••• I••••••••• A•••••••• L•• to A•••• W••••• A•••••••left Oct 2, 2017, registered Sep 12, 2017 (-20 days) · Other · moved with a team
- S•••••• W••••• P•••••••• L•• to A•••••• I••••••••• A•••••••• L••left Jun 29, 2015, registered Jun 26, 2015 (-3 days) · Other · moved with a team
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Jun 14, 2012, registered Jun 15, 2012 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address