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.
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- D•••••• A•••••••• G•••• • W••••• other currentsince Mar 30, 2026 · Dallas, Tx
- M••••• S•••••• wirehouseMay 16, 2023 to Jun 4, 2025 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerSep 16, 2022 to Sep 5, 2023 · Sandy, Ut
- E•••••• A••••••• G••••• L•• BD affiliatedJan 6, 2022 to Aug 25, 2022 · Greenwood Village, Co
- W•••• F•••• A••••••• wirehouseJun 14, 2021 to Dec 23, 2021 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 17, 2019 to Nov 30, 2020 · Salt Lake City, Ut
- E••••• J•••• national BDApr 16, 2018 to Oct 25, 2018 · Centerville, Ut
- W•••• F•••• A••••••• wirehouseJan 15, 2015 to Feb 21, 2018 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJan 15, 2013 to Jan 27, 2015 · South Jordan, Ut
- E•••••• C•••••• M••••••••• L•• formerJul 12, 2011 to Dec 14, 2012 · Arlington, Va
- M••••• S•••••• to D•••••• A•••••••• G•••• • W•••••left Jun 4, 2025, registered Mar 30, 2026 (299 days) · Other
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered May 16, 2023 (-112 days) · corporate re-registration, not a move
- E•••••• A••••••• G••••• L•• to E•••••• C•••••• M••••••••• L••left Aug 25, 2022, registered Sep 16, 2022 (22 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to E•••••• A••••••• G••••• L••left Dec 23, 2021, registered Jan 6, 2022 (14 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Nov 30, 2020, registered Jun 14, 2021 (196 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 25, 2018, registered Jul 17, 2019 (265 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Feb 21, 2018, registered Apr 16, 2018 (54 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 27, 2015, registered Jan 15, 2015 (-12 days) · Wirehouse to wirehouse
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Dec 14, 2012, registered Jan 15, 2013 (32 days) · Other
- Dax K Westlund left Morgan Stanley for Digital Ascension Group - Wealth (registered 2026-03-30)Jun 4, 2025 · Advisor changed firm · fact
- Dax K Westlund left Empower Advisory Group, Llc for E*Trade Capital Management, Llc (registered 2022-09-16)Aug 25, 2022 · Advisor changed firm · fact
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
- Other adviserderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address