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.
- F••••• I••••••••• independent RIA currentsince May 6, 2023 · Plano, Tx
- G••••• W••••• M••••••••• I••• BD affiliatedAug 7, 2007 to Jan 18, 2008 · Draper, Ut
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 12, 2006 to Jul 26, 2007 · Salt Lake City, Ut
- P•••• S••••••••• L•• no RAUMSep 28, 2004 to Nov 17, 2004 · Salt Lake City, Ut
- G••••• W••••• M••••••••• I••• to F••••• I•••••••••left Jan 18, 2008, registered May 6, 2023 (5587 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to G••••• W••••• M••••••••• I•••left Jul 26, 2007, registered Aug 7, 2007 (12 days) · Other
- P•••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 17, 2004, registered Oct 12, 2006 (694 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address