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•••• E•••• L••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 6, 2023 · Kaysville, Ut
- C••••• A•••••• N••••••• L•• formerMay 9, 2014 to Jun 14, 2023 · Salt Lake City, Ut
- O•••• F•• I••• formerAug 23, 2013 to May 21, 2014 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 26, 2013 · Centerville, Ut
- W•••• F•••• I••••••••• L•• unclassifiedJul 3, 2007 to Jan 3, 2011 · Layton, Ut
- K•• I••••••••• S••••••• L•• BD affiliatedJan 9, 2006 to May 24, 2007 · Salt Lake City, Ut
- K•••••• C•••••• M•••••• I••• unclassifiedJun 13, 2005 to Dec 31, 2005 · Ogden, Ut
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jun 14, 2023, registered Jun 6, 2023 (-8 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to C••••• A•••••• N••••••• L••left May 21, 2014, registered May 9, 2014 (-12 days) · Other
- W•••• F•••• A••••••• to O•••• F•• I•••left Aug 26, 2013, registered Aug 23, 2013 (-3 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left May 24, 2007, registered Jul 3, 2007 (40 days) · Other
- K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Dec 31, 2005, registered Jan 9, 2006 (9 days) · corporate re-registration, not a move
- B•••• E•••• L•••••••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2023-06-06)Jun 14, 2023 · a•••••• firm change · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address