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••••••• D••• F•••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Aug 6, 2013 · Midvale, Ut
- E•••••••• A•••••••• L•• national BDApr 16, 2013 to Aug 2, 2013 · Salt Lake City, Ut
- L••••• W••••• M••••••••• independent RIAJun 18, 2012 to Mar 25, 2013 · Salt Lake City, Ut
- K••• C•••••• A•••••••• L•• formerMay 5, 2010 to Jun 15, 2012 · Draper, Ut
- K••• C•••••• A•••••••• L•• formerJan 13, 2009 to Jun 8, 2009 · Draper, Ut
- G••••• W••••• M••••••••• I••• BD affiliatedJan 12, 2006 to Apr 30, 2010 · Draper, Ut
- M• H••••••• S••••••••• I••• BD affiliatedMay 26, 2005 to Jun 23, 2005 · Draper, Ut
- E•••••••• A•••••••• L•• to G••••• W••••• M••••••••• I•••left Aug 2, 2013, registered Aug 6, 2013 (4 days) · Other
- L••••• W••••• M••••••••• to E•••••••• A•••••••• L••left Mar 25, 2013, registered Apr 16, 2013 (22 days) · Other
- K••• C•••••• A•••••••• L•• to L••••• W••••• M•••••••••left Jun 15, 2012, registered Jun 18, 2012 (3 days) · Other
- G••••• W••••• M••••••••• I••• to K••• C•••••• A•••••••• L••left Apr 30, 2010, registered Jan 13, 2009 (-472 days) · Other
- M• H••••••• S••••••••• I••• to G••••• W••••• M••••••••• I•••left Jun 23, 2005, registered Jan 12, 2006 (203 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address