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.
B•••• C••• P•••••••
- P••••••• W••••• S••••••• I••• independent RIA currentsince Sep 29, 2020 · South Ogden, Ut
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 14, 2009 to Oct 2, 2020 · Ogden, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2009 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 5, 1999 to Jun 1, 2009 · Salt Lake City, Ut
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P••••••• W••••• S••••••• I•••left Oct 2, 2020, registered Sep 29, 2020 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 29, 2009, registered Oct 14, 2009 (-15 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address