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.
W•••••• J•••••• L•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Midvale, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2020 to Mar 31, 2025 · Salt Lake City, Ut
- E•••••••• A•••••••• L•• national BDMay 21, 2018 to Oct 23, 2018 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• formerFeb 1, 2016 to Apr 12, 2018 · Sandy, Ut
- E••••• J•••• national BDFeb 22, 2011 to Oct 8, 2012 · St Louis, Mo
- W•••••• • R••• formerFeb 7, 2011 to Feb 17, 2011 · Clearfield, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2002 to Dec 14, 2005 · 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
- E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 23, 2018, registered Jul 26, 2020 (642 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to E•••••••• A•••••••• L••left Apr 12, 2018, registered May 21, 2018 (39 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to E•••••• C•••••• M••••••••• L••left Oct 8, 2012, registered Feb 1, 2016 (1211 days) · Other
- W•••••• • R••• to E••••• J••••left Feb 17, 2011, registered Feb 22, 2011 (5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Dec 14, 2005, registered Feb 7, 2011 (1881 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