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.
T••••• C•••••••• S•••••••
- T••••• W•••••• L••••• independent RIA currentsince Aug 3, 2020 · Draper, Ut
- C•••• C•••••• A••••••• L•• independent RIAOct 4, 2019 to Apr 7, 2020 · Draper, Ut
- N••••••• P•••••• W•••••• L•• independent RIAMay 8, 2014 to Oct 3, 2019 · Draper, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDJan 23, 2012 to May 7, 2014 · Draper, Ut
- F•••• W•••••• A••••••• formerJan 23, 2007 to Feb 17, 2012 · Holladay, Ut
- M••••• S•••••• D• I••• unclassifiedAug 18, 2005 to Apr 10, 2006 · Salt Lake City, Ut
- C•••• C•••••• A••••••• L•• to T••••• W•••••• L•••••left Apr 7, 2020, registered Aug 3, 2020 (118 days) · RIA to RIA
- N••••••• P•••••• W•••••• L•• to C•••• C•••••• A••••••• L••left Oct 3, 2019, registered Oct 4, 2019 (1 days) · RIA to RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to N••••••• P•••••• W•••••• L••left May 7, 2014, registered May 8, 2014 (1 days) · Affiliated broker-dealer or bank to a newly registered adviser
- F•••• W•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 17, 2012, registered Jan 23, 2012 (-25 days) · Other
- M••••• S•••••• D• I••• to F•••• W•••••• A•••••••left Apr 10, 2006, registered Jan 23, 2007 (288 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