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•••• B••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 10, 2017 to Jul 13, 2018 · Salt Lake City, Ut
- A••••• A•• P••••••• S••••••• BD affiliatedSep 9, 2014 to Sep 23, 2016 · Salt Lake City, Ut
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedJan 10, 2014 to Sep 3, 2014 · North Salt Lake, Ut
- S•••••••• A••••••• L•• national BDFeb 24, 2005 to Oct 30, 2008 · Salt Lake City, Ut
- F••••••• B•••••••• S••••••• L•• unclassifiedJan 28, 2005 to Sep 8, 2005 · Salt Lake City, Ut
- R•••• C•••••• M••••••••• L•• formerApr 1, 2003 to Jan 10, 2005 · Orem, Ut
- S•••••••• A••••••• L•• national BDJan 26, 2001 to Feb 19, 2003 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to S•••••••• A••••••• L••left Sep 23, 2016, registered Jan 10, 2017 (109 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 3, 2014, registered Sep 9, 2014 (6 days) · Other
- S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Oct 30, 2008, registered Jan 10, 2014 (1898 days) · Other
- F••••••• B•••••••• S••••••• L•• to S•••••••• A••••••• L••left Sep 8, 2005, registered Feb 24, 2005 (-196 days) · Other
- R•••• C•••••• M••••••••• L•• to F••••••• B•••••••• S••••••• L••left Jan 10, 2005, registered Jan 28, 2005 (18 days) · Other
- S•••••••• A••••••• L•• to R•••• C•••••• M••••••••• L••left Feb 19, 2003, registered Apr 1, 2003 (41 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address