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.
N••••• L•••• W•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Nov 4, 2011 · Sandy, Ut
- Q•••••• A•••• M••••••••• I••• formerAug 2, 2007 to Nov 4, 2011 · Sandy, Ut
- O••••••••• S••••••••• I••• BD affiliatedJan 12, 2007 to Jul 28, 2007 · Salt Lake City, Ut
- Q•••••• A•••• M••••••••• I••• to O• I••••••••• M••••••••• C•left Nov 4, 2011, registered Nov 4, 2011 (0 days) · Other
- O••••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jul 28, 2007, registered Aug 2, 2007 (5 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address