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.
T•••• S•••• O••••
- A••••• I••••••••• M••••••••• L•• state registered currentsince Jun 8, 2020 · Pleasant Grove, Ut
- L••• P••• A••••••• independent RIAAug 14, 2018 to Mar 16, 2020 · Draper, Ut
- L••••• P••••••• G•••• formerJan 8, 2018 to Aug 13, 2018 · Draper, Ut
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 17, 2017 to Dec 13, 2017 · Greenwood Village, Co
- L••• P••• A••••••• to A••••• I••••••••• M••••••••• L••left Mar 16, 2020, registered Jun 8, 2020 (84 days) · RIA to a state-registered adviser
- L••••• P••••••• G•••• to L••• P••• A•••••••left Aug 13, 2018, registered Aug 14, 2018 (1 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to L••••• P••••••• G••••left Dec 13, 2017, registered Jan 8, 2018 (26 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address