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.
A•• M• W••••••
- M••••• A•••••••• L•• BD affiliated currentsince Feb 18, 2026 · Draper, Ut
- A••••• A•• P••••••• S••••••• BD affiliatedJul 14, 2023 to Feb 13, 2026 · Salt Lake City, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2019 to Jun 26, 2023 · Salt Lake City, Ut
- E•••••••• A•••••••• L•• national BDMar 4, 2019 to Jul 3, 2019 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 2016 to Mar 16, 2017 · Walnut Creek, Ca
- A••••• A•• P••••••• S••••••• to M••••• A•••••••• L••left Feb 13, 2026, registered Feb 18, 2026 (5 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Jun 26, 2023, registered Jul 14, 2023 (18 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 3, 2019, registered Sep 16, 2019 (75 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Mar 16, 2017, registered Mar 4, 2019 (718 days) · Wirehouse to affiliated broker-dealer or bank
- A•• M• W•••••• left A••••• A•• P••••••• S••••••• for M••••• A•••••••• L•• (registered 2026-02-18)Feb 13, 2026 · Advisor changed firm · fact
- A•• M• W•••••• left A••••••••• F•••••••• S•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-07-14)Jun 26, 2023 · Advisor changed firm · fact
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address