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.
G••••••• P••• L••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Holladay, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 16, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- E•••••••• A•••••••• L•• national BDJun 10, 2020 to Nov 24, 2020 · Cottonwood Heights, Ut
- H•••••• T••••••• • K•••• L•• independent RIAAug 27, 2019 to Oct 31, 2019 · Holladay, Ut
- S•••••••• A••••••• L•• national BDJan 1, 2010 to Aug 31, 2017 · American Fork, Ut
- 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
- E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 24, 2020, registered Nov 16, 2022 (722 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to E•••••••• A•••••••• L••left Oct 31, 2019, registered Jun 10, 2020 (223 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to H•••••• T••••••• • K•••• L••left Aug 31, 2017, registered Aug 27, 2019 (726 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address