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.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerOct 27, 2020 to Sep 5, 2023 · Arlington, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 8, 2019 to Oct 27, 2020 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDJan 9, 2012 to Jun 5, 2017 · Salt Lake City, Ut
- E•••••••• A•••••••• L•• national BDJan 19, 2007 to Sep 25, 2007 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••left Oct 27, 2020, registered Oct 27, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 5, 2017, registered Jan 8, 2019 (582 days) · channel change inside one enterprise, not a move
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left Sep 25, 2007, registered Jan 9, 2012 (1567 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address