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.
M•••••• B• H•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Nov 17, 2022 · New York, Ny
- P•••••••• S••••••••• I••• BD affiliatedFeb 2, 2015 to Nov 11, 2022 · Sandy, Ut
- M••••• S•••••• wirehouseApr 12, 2012 to Jun 28, 2013 · South Jordan, Ut
- U•• F•••••••• S••••••• I••• wirehouseApr 14, 2011 to Apr 19, 2012 · Salt Lake City, Ut
- M••••• S•••••• wirehouseMar 31, 2010 to Apr 12, 2011 · South Jordan, Ut
- P•••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Nov 11, 2022, registered Nov 17, 2022 (6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•••••••• S••••••••• I•••left Jun 28, 2013, registered Feb 2, 2015 (584 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 19, 2012, registered Apr 12, 2012 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 12, 2011, registered Apr 14, 2011 (2 days) · Wirehouse to wirehouse
- M•••••• B• H••••• left P•••••••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2022-11-17)Nov 11, 2022 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address