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•••••• G•••••
- D••• D••••••• • C•• independent RIA currentsince Jan 9, 2026 · Salt Lake City, Ut
- K•• I••••••••• S••••••• L•• BD affiliatedOct 27, 2023 to Jul 11, 2025 · Brooklyn, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2019 to Aug 21, 2022 · Lehi, Ut
- C•••• A••••••• independent RIAFeb 23, 2016 to Jul 9, 2019 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseJan 11, 2013 to Oct 9, 2015 · Charlotte, Nc
- Z•••• C•••••• A•••••••• I••• institutionalAug 9, 2012 to Dec 6, 2012 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedMay 17, 2005 to Dec 21, 2010 · Bountiful, Ut
- K•• I••••••••• S••••••• L•• to D••• D••••••• • C••left Jul 11, 2025, registered Jan 9, 2026 (182 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•• I••••••••• S••••••• L••left Aug 21, 2022, registered Oct 27, 2023 (432 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2019, registered Sep 17, 2019 (70 days) · RIA to wirehouse
- W•••• F•••• A••••••• to C•••• A•••••••left Oct 9, 2015, registered Feb 23, 2016 (137 days) · Other
- Z•••• C•••••• A•••••••• I••• to W•••• F•••• A•••••••left Dec 6, 2012, registered Jan 11, 2013 (36 days) · Other
- W•••• F•••• I••••••••• L•• to Z•••• C•••••• A•••••••• I•••left Dec 21, 2010, registered Aug 9, 2012 (597 days) · Other
- D•••• S•••••• G••••• left K•• I••••••••• S••••••• L•• for D••• D••••••• • C•• (registered 2026-01-09)Jul 11, 2025 · Advisor changed firm · fact
- D•••• S•••••• G••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K•• I••••••••• S••••••• L•• (registered 2023-10-27)Aug 21, 2022 · Advisor changed firm · fact
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address