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•••• A• B•••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Apr 6, 2022 · Salt Lake City, Ut
- M••••• S•••••• wirehouseMar 27, 2017 to Mar 28, 2022 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2009 to Mar 2, 2017 · Northbrook, Il
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Mar 28, 2022, registered Apr 6, 2022 (9 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 2, 2017, registered Mar 27, 2017 (25 days) · Wirehouse to wirehouse · moved with a team
- C•••• A• B••••• left M••••• S•••••• for S•••••• W••••• P•••••••• L•• (registered 2022-04-06)Mar 28, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address