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.
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Ogden, Ut
- C••• F•••••••• S•••••••• L••• formerApr 24, 2017 to May 15, 2025 · Ogden, Ut
- L•• F•••••••• L•• BD affiliatedSep 22, 2015 to May 5, 2017 · South Ogden, Ut
- C••• F•••••••• S•••••••• L••• formerJan 14, 2015 to Sep 21, 2015 · Ogden, Ut
- C••• B•••••••• S•••••••• I••• formerMar 13, 2007 to Jan 14, 2015 · Brigham City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedApr 26, 2006 to Feb 27, 2007 · Salt Lake City, Ut
- B•• A•••• M••••••••• I••• independent RIAApr 26, 2004 to Mar 9, 2006 · Salt Lake City, Ut
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left May 5, 2017, registered Apr 24, 2017 (-11 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 21, 2015, registered Sep 22, 2015 (1 days) · Other · moved with a team
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 14, 2015, registered Jan 14, 2015 (0 days) · Other · moved with a team
- W•••• F•••• I••••••••• L•• to C••• B•••••••• S•••••••• I•••left Feb 27, 2007, registered Mar 13, 2007 (14 days) · Other
- B•• A•••• M••••••••• I••• to W•••• F•••• I••••••••• L••left Mar 9, 2006, registered Apr 26, 2006 (48 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address