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.
C••••• T• R••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 2, 2022 · Cottonwood Heights, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 6, 2006 to Sep 7, 2023 · Salt Lake City, Ut
- T• A••••••••• I••• formerMar 3, 2006 to Oct 14, 2022 · Salt Lake City, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDDec 3, 2004 to Aug 23, 2005 · Midvale, Ut
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Mar 2, 2022 (-554 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 6, 2006 (-5944 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••left Aug 23, 2005, registered Mar 3, 2006 (192 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address