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.
L•••• K•••• T••••••
- L••••••• W••••• A•••••••• L•• independent RIA currentsince May 10, 2013 · Farmington, Ut
- T•••••• F•••••••• A•••••••• L••• unclassifiedMar 30, 2006 to Jul 3, 2013 · Centerville, Ut
- L•• F•••••••• L•• BD affiliatedFeb 24, 1997 to Oct 12, 2009 · Centerville, Ut
- T•••••• F•••••••• A•••••••• L••• to L••••••• W••••• A•••••••• L••left Jul 3, 2013, registered May 10, 2013 (-54 days) · Other
- L•• F•••••••• L•• to T•••••• F•••••••• A•••••••• L•••left Oct 12, 2009, registered Mar 30, 2006 (-1292 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address