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.
T••••• M•••••• E••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 29, 2019 · Provo, Ut
- H•••••• T••••••• • K•••• L•• independent RIAJul 17, 2012 to Jul 8, 2019 · Orem, Ut
- S••••••• F•••••••• S•••••••• I••• formerJul 14, 2008 to May 25, 2012 · Orem, Ut
- H•••••• T••••••• • K•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 8, 2019, registered Jul 29, 2019 (21 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left May 25, 2012, registered Jul 17, 2012 (53 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