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••••• S•••••• wirehouse currentsince Jan 13, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerJul 19, 2016 to Sep 5, 2023 · Sandy, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 9, 2015 to Jul 19, 2016 · Draper, Ut
- T• A••••••••• I••• formerDec 9, 2015 to Jul 19, 2016 · Draper, Ut
- W•••• F•••• A••••••• wirehouseJan 10, 2013 to Jun 11, 2015 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Jan 13, 2023 (-235 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Jul 19, 2016, registered Jul 19, 2016 (0 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 19, 2016, registered Dec 9, 2015 (-223 days) · channel change inside one enterprise, not a move · moved with a team
- W•••• F•••• A••••••• to T• A••••••••• I•••left Jun 11, 2015, registered Dec 9, 2015 (181 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address