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.
- B••••• independent RIA currentsince Sep 30, 2011 · Salt Lake City, Ut
- B••••• independent RIASep 21, 2006 to Dec 31, 2007 · Salt Lake City, Ut
- G• F•••••••• G••••• L•• unclassifiedFeb 2, 2006 to Oct 25, 2006 · Salt Lake City, Ut
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 9, 2004 to May 12, 2005 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseJul 9, 2001 to Dec 19, 2003 · Salt Lake City, Ut
- G• F•••••••• G••••• L•• to B•••••left Oct 25, 2006, registered Sep 21, 2006 (-34 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to G• F•••••••• G••••• L••left May 12, 2005, registered Feb 2, 2006 (266 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 19, 2003, registered Jan 9, 2004 (21 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address