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.
R•••••• B••• B•••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 19, 2023 · Suite 303, Ut
- D•••••••• W••••• M••••••••• I••• unclassifiedApr 8, 2014 to Nov 16, 2015 · Salt Lake City, Ut
- D•••••••• W••••• M••••••••• L•• formerJul 5, 2012 to Dec 31, 2015 · Salt Lake City, Ut
- O••••••••• S••••••••• I••• BD affiliatedJan 16, 2008 to Jun 25, 2012 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedJan 6, 2005 to Nov 6, 2007 · Salt Lake City, Ut
- D•••••••• W••••• M••••••••• L•• to D•••••••• W••••• M••••••••• I•••left Dec 31, 2015, registered Apr 8, 2014 (-632 days) · Other
- D•••••••• W••••• M••••••••• I••• to D•••••••• A••••••• S•••••••• L••left Nov 16, 2015, registered Dec 19, 2023 (2955 days) · Other · moved with a team
- O••••••••• S••••••••• I••• to D•••••••• W••••• M••••••••• L••left Jun 25, 2012, registered Jul 5, 2012 (10 days) · Other
- W•••• F•••• I••••••••• L•• to O••••••••• S••••••••• I•••left Nov 6, 2007, registered Jan 16, 2008 (71 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address