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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bountiful, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 4, 2008 to Jul 13, 2018 · Salt Lake City, Ut
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 21, 2006 · Salt Lake City, Ut
- B••• O•• S••••••••• C••••••••• unclassifiedApr 1, 2004 to Jul 6, 2005 · Salt Lake City, Ut
- W••• I••••••••• I••• unclassifiedJun 6, 2003 to Nov 7, 2003 · Murray, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDAug 23, 2002 to May 5, 2003 · Midvale, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••left Mar 21, 2006, registered Nov 4, 2008 (959 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to B••• O•• S••••••••• C•••••••••left Nov 7, 2003, registered Apr 1, 2004 (146 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left May 5, 2003, registered Jun 6, 2003 (32 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address