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•••• L••• M••••••••
- F•• R••••••••• L•• state registered currentsince May 16, 2013 · Tooele, Ut
- B••••••••• L•• formerFeb 17, 2011 to Dec 2, 2011 · Tooele, Ut
- E••••• J•••• national BDJun 20, 2006 to Sep 30, 2010 · St Louis, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 4, 2005 to May 31, 2006 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDJan 25, 2002 to May 22, 2003 · Salt Lake City, Ut
- B••••••••• L•• to F•• R••••••••• L••left Dec 2, 2011, registered May 16, 2013 (531 days) · Other
- E••••• J•••• to B••••••••• L••left Sep 30, 2010, registered Feb 17, 2011 (140 days) · Other
- M•• I•••••••• S•••••••• L•• to E••••• J••••left May 31, 2006, registered Jun 20, 2006 (20 days) · Other
- S•••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••left May 22, 2003, registered Mar 4, 2005 (652 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address