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••••••••• M•••••• W••••••••
- A•••• W••••• M••••••••• I••• independent RIA currentsince Oct 30, 2020 · Holladay, Ut
- O••••••••• institutionalApr 5, 2019 to Oct 2, 2020 · Sandy, Ut
- W•••• F•••• A••••••• wirehouseAug 26, 2013 to Mar 12, 2019 · Salt Lake City, Ut
- U••• B•••••• I••••••••• I••• formerMay 16, 2011 to Aug 27, 2013 · Park City, Ut
- L•• F•••••••• L•• BD affiliatedOct 20, 2008 to Jun 13, 2011 · Sandy, Ut
- U••• B•••••• I••••••••• I••• formerDec 15, 2006 to Oct 2, 2008 · Saint George, Ut
- C•••• I••••••••• S••••••• C•••• formerMay 10, 2006 to Nov 21, 2006 · Salt Lake City, Ut
- O••••••••• to A•••• W••••• M••••••••• I•••left Oct 2, 2020, registered Oct 30, 2020 (28 days) · Other
- W•••• F•••• A••••••• to O•••••••••left Mar 12, 2019, registered Apr 5, 2019 (24 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Aug 27, 2013, registered Aug 26, 2013 (-1 days) · Other
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 13, 2011, registered May 16, 2011 (-28 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Oct 2, 2008, registered Oct 20, 2008 (18 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Nov 21, 2006, registered Dec 15, 2006 (24 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address