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.
- D•••••• independent RIA currentsince Jan 2, 2020 · Salt Lake City, Ut
- G••••• W••••• M••••••••• I••• BD affiliatedOct 15, 2019 to Nov 12, 2019 · Englewood, Co
- D•••••• independent RIAMar 5, 2018 to Oct 14, 2019 · Salt Lake City, Ut
- Y••••••••• P••••••• formerSep 26, 2014 to Apr 3, 2018 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 31, 2006 to Aug 30, 2014 · Salt Lake City, Ut
- M••••• S•••••• D• I••• unclassifiedJul 15, 2005 to Aug 24, 2006 · Midvale, Ut
- E•••••• C•••••• M••••••••• L•• formerMay 17, 2005 to May 27, 2005 · Sandy, Ut
- M••••• S•••••• D• I••• unclassifiedJul 12, 2004 to May 4, 2005 · Salt Lake Cy, Ut
- G••••• W••••• M••••••••• I••• to D••••••left Nov 12, 2019, registered Jan 2, 2020 (51 days) · Affiliated broker-dealer or bank to independent RIA
- D•••••• to G••••• W••••• M••••••••• I•••left Oct 14, 2019, registered Oct 15, 2019 (1 days) · RIA to affiliated broker-dealer or bank
- Y••••••••• P••••••• to D••••••left Apr 3, 2018, registered Mar 5, 2018 (-29 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Y••••••••• P•••••••left Aug 30, 2014, registered Sep 26, 2014 (27 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2006, registered Aug 31, 2006 (7 days) · Other
- E•••••• C•••••• M••••••••• L•• to M••••• S•••••• D• I•••left May 27, 2005, registered Jul 15, 2005 (49 days) · Other
- M••••• S•••••• D• I••• to E•••••• C•••••• M••••••••• L••left May 4, 2005, registered May 17, 2005 (13 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address