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.
E•• J•• K•• H••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Logan, Ut
- C••• B•••••••• S•••••••• I••• formerMar 4, 2022 to May 18, 2022 · Waverly, Ia
- J••• M••••• S••••••••• L•• wirehouseJun 10, 2021 to Feb 26, 2022 · Providence, Ut
- C••• B•••••••• S•••••••• I••• formerApr 23, 2019 to Jun 2, 2021 · Tooele, Ut
- P•••• S••••••••• L•• no RAUMAug 31, 2017 to Feb 28, 2018 · Englewood, Co
- C••• F•••••••• S•••••••• L••• formerJan 14, 2015 to Feb 16, 2017 · Ogden, Ut
- C••• B•••••••• S•••••••• I••• formerFeb 3, 2009 to Jan 14, 2015 · Ogden, Ut
- M••••• S•••••• • C•• L•• unclassifiedOct 11, 2007 to Jan 16, 2009 · South Jordan, Ut
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Feb 26, 2022, registered Mar 4, 2022 (6 days) · Wirehouse to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jun 2, 2021, registered Jun 10, 2021 (8 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Feb 28, 2018, registered Apr 23, 2019 (419 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to P•••• S••••••••• L••left Feb 16, 2017, registered Aug 31, 2017 (196 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 14, 2015, registered Jan 14, 2015 (0 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to C••• B•••••••• S•••••••• I•••left Jan 16, 2009, registered Feb 3, 2009 (18 days) · Other
- E•• J•• K•• H•••••• left J••• M••••• S••••••••• L•• for C••• B•••••••• S•••••••• I••• (registered 2022-03-04)Feb 26, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address