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.
S•••••• A••••• F••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Herriman, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 29, 2024 to Mar 31, 2025 · Salt Lake City, Ut
- T•••••••• W••••• independent RIAMar 13, 2018 to Apr 1, 2019 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDDec 5, 2007 to May 20, 2016 · Los Angeles, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T•••••••• W••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 1, 2019, registered Nov 29, 2024 (2069 days) · RIA to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to T•••••••• W•••••left May 20, 2016, registered Mar 13, 2018 (662 days) · Affiliated broker-dealer or bank to independent RIA
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address