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.
A•• W• Y•••
- G••••• A••••• A•••••••• L•• independent RIA currentsince Jul 1, 2019 · Kamas, Ut
- G••••• V••• C•••••• M••••••••• L•• independent RIAFeb 23, 2018 to Jun 26, 2019 · Pleasant Grove, Ut
- O••••••••• S••••••••• I••• BD affiliatedApr 11, 2016 to Jan 9, 2018 · Cottonwood Heights, Ut
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to May 2, 2016 · So. Jordan, Ut
- I••••••••• A••••••• I••••••••• I••• unclassifiedSep 1, 2011 to Jan 6, 2012 · So. Jordan, Ut
- G••••• V••• C•••••• M••••••••• L•• to G••••• A••••• A•••••••• L••left Jun 26, 2019, registered Jul 1, 2019 (5 days) · RIA to a newly registered adviser
- O••••••••• S••••••••• I••• to G••••• V••• C•••••• M••••••••• L••left Jan 9, 2018, registered Feb 23, 2018 (45 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left May 2, 2016, registered Apr 11, 2016 (-21 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
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