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••• H••••
- F•• W••••• M••••••••• L•• BD affiliated currentsince Jun 25, 2020 · West Des Moines, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDSep 7, 2017 to Apr 17, 2020 · South Jordan, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 14, 2017 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 9, 2006 to Jun 1, 2009 · Salt Lake City, Ut
- A••••••••• F•••••••• S•••••••• L•• to F•• W••••• M••••••••• L••left Apr 17, 2020, registered Jun 25, 2020 (69 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 14, 2017, registered Sep 7, 2017 (24 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address