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•••• A•••• G••••••
- P••••••• W••••• G••••• L•• independent RIA currentsince May 9, 2023 · Sandy, Ut
- T••••••••• C••••••• L•• asset managerFeb 8, 2021 to Jun 13, 2023 · Lehi, Ut
- L••• P••• A••••••• independent RIAOct 30, 2018 to Mar 23, 2020 · Draper, Ut
- L••••• W••••• M••••••••• L•• independent RIAOct 6, 2017 to Oct 31, 2018 · Sandy, Ut
- F•••• C•••••• A••••••• G••••• L•• formerDec 9, 2016 to Feb 22, 2017 · Salt Lake City, Ut
- M••••• G••••• A••••••• I••• independent RIASep 22, 2015 to Apr 20, 2016 · Santa Barbara, Ca
- E•••••• C•••••• M••••••••• L•• formerOct 11, 2011 to Sep 25, 2015 · Arlington, Va
- N•• E•••••• S••••••••• C••••••••• formerSep 14, 2009 to Aug 8, 2011 · Sandy, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDDec 9, 2002 to Jun 12, 2009 · South Jordan, Ut
- T••••••••• C••••••• L•• to P••••••• W••••• G••••• L••left Jun 13, 2023, registered May 9, 2023 (-35 days) · corporate re-registration, not a move
- L••• P••• A••••••• to T••••••••• C••••••• L••left Mar 23, 2020, registered Feb 8, 2021 (322 days) · RIA to RIA
- L••••• W••••• M••••••••• L•• to L••• P••• A•••••••left Oct 31, 2018, registered Oct 30, 2018 (-1 days) · RIA to RIA
- F•••• C•••••• A••••••• G••••• L•• to L••••• W••••• M••••••••• L••left Feb 22, 2017, registered Oct 6, 2017 (226 days) · Other
- M••••• G••••• A••••••• I••• to F•••• C•••••• A••••••• G••••• L••left Apr 20, 2016, registered Dec 9, 2016 (233 days) · Other
- E•••••• C•••••• M••••••••• L•• to M••••• G••••• A••••••• I•••left Sep 25, 2015, registered Sep 22, 2015 (-3 days) · Other
- N•• E•••••• S••••••••• C••••••••• to E•••••• C•••••• M••••••••• L••left Aug 8, 2011, registered Oct 11, 2011 (64 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 12, 2009, registered Sep 14, 2009 (94 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address