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••••• E••• S••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Feb 11, 2021 · American Fork, Ut
- B•• P•••••••• I••• BD affiliatedMar 1, 2012 to Feb 10, 2021 · Orem, Ut
- C• F•••••••• A••••••• unclassifiedMar 24, 2009 to Nov 19, 2012 · Provo, Ut
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 7, 2008 to Mar 6, 2009 · American Fork, Ut
- I••••••••• F•••••••• G••••• L•• BD affiliatedOct 5, 2007 to Feb 1, 2008 · Lindon, Ut
- B•• P•••••••• I••• to J• W• C••• A•••••••• I•••left Feb 10, 2021, registered Feb 11, 2021 (1 days) · Affiliated broker-dealer or bank to independent RIA
- C• F•••••••• A••••••• to B•• P•••••••• I•••left Nov 19, 2012, registered Mar 1, 2012 (-263 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C• F•••••••• A•••••••left Mar 6, 2009, registered Mar 24, 2009 (18 days) · Other
- I••••••••• F•••••••• G••••• L•• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Feb 1, 2008, registered Feb 7, 2008 (6 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address