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.
R••••• L••• B••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 19, 2025 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseSep 5, 2023 to May 12, 2025 · Salt Lake City, Ut
- P•••• S••••••••• L•• no RAUMAug 6, 2019 to Feb 3, 2023 · South Jordon, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 28, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 28, 2008 to Jul 13, 2018 · Salt Lake City, Ut
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 27, 2005 to Jun 14, 2005 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDApr 27, 2005 to Jun 14, 2005 · Salt Lake City, Ut
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Feb 3, 2023, registered Sep 5, 2023 (214 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to P•••• S••••••••• L••left Sep 28, 2018, registered Aug 6, 2019 (312 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••left Jun 14, 2005, registered Apr 27, 2005 (-48 days) · Other
- R••••• L••• B•••• left P•••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2023-09-05)Feb 3, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address