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.
K••• W•••••• B••••••
- P••••••• W••••• G••••• L•• independent RIA currentsince Apr 17, 2023 · Provo, Ut
- T••••••••• C••••••• L•• asset managerMay 2, 2018 to Jun 14, 2023 · Lehi, Ut
- A•••••• I••••••••• A•••••••• L•• formerDec 5, 2017 to May 10, 2018 · South Jordan, Ut
- E•••• S••••••••• L•• BD affiliatedMar 22, 2017 to Dec 7, 2017 · Sandy, Ut
- P••• A••••• S••••••••• L•• BD affiliatedOct 15, 2013 to Jun 15, 2016 · Murray, Ut
- O••••••••• S••••••••• I••• BD affiliatedAug 14, 2009 to Jul 26, 2013 · West Valley, Ut
- U•• F•••••••• S••••••• I••• wirehouseMar 19, 2008 to Jun 25, 2009 · Houston, Tx
- S••••••• F•••••••• S•••••••• I••• formerOct 5, 2006 to Mar 17, 2008 · Bellevue, Wa
- A•••••• A•••••••• I••• unclassifiedNov 23, 2004 to Jun 30, 2006 · Salt Lake City, Ut
- E•• F•••••••• A••••••• independent RIAOct 14, 2002 to Nov 22, 2004 · Renton, Wa
- T••••••••• C••••••• L•• to P••••••• W••••• G••••• L••left Jun 14, 2023, registered Apr 17, 2023 (-58 days) · corporate re-registration, not a move
- A•••••• I••••••••• A•••••••• L•• to T••••••••• C••••••• L••left May 10, 2018, registered May 2, 2018 (-8 days) · RIA to RIA · moved with a team
- E•••• S••••••••• L•• to A•••••• I••••••••• A•••••••• L••left Dec 7, 2017, registered Dec 5, 2017 (-2 days) · Other
- P••• A••••• S••••••••• L•• to E•••• S••••••••• L••left Jun 15, 2016, registered Mar 22, 2017 (280 days) · Other
- O••••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Jul 26, 2013, registered Oct 15, 2013 (81 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• S••••••••• I•••left Jun 25, 2009, registered Aug 14, 2009 (50 days) · Other
- S••••••• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 17, 2008, registered Mar 19, 2008 (2 days) · Other
- A•••••• A•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jun 30, 2006, registered Oct 5, 2006 (97 days) · Other
- E•• F•••••••• A••••••• to A•••••• A•••••••• I•••left Nov 22, 2004, registered Nov 23, 2004 (1 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address