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.
D•••• S•••••• W•••••
- C••••••••• A•••• M••••••••• L•• state registered currentsince Aug 28, 2018 · Salt Lake City, Ut
- A•••••• I••••••••• A•••••••• L•• formerMar 9, 2017 to Aug 13, 2018 · Salt Lake City, Ut
- G•••• F•••••••• formerOct 6, 2014 to Feb 23, 2017 · Salt Lake City, Ut
- F•••••• F•••••••• A•••••••• L•• formerJun 9, 2004 to Dec 1, 2014 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2002 to Mar 12, 2003 · Salt Lake City , Ut
- A•••••• I••••••••• A•••••••• L•• to C••••••••• A•••• M••••••••• L••left Aug 13, 2018, registered Aug 28, 2018 (15 days) · RIA to a state-registered adviser · moved with a team
- G•••• F•••••••• to A•••••• I••••••••• A•••••••• L••left Feb 23, 2017, registered Mar 9, 2017 (14 days) · Other · moved with a team
- F•••••• F•••••••• A•••••••• L•• to G•••• F••••••••left Dec 1, 2014, registered Oct 6, 2014 (-56 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••• F•••••••• A•••••••• L••left Mar 12, 2003, registered Jun 9, 2004 (455 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address