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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- R•• F••••• W••••• A•••••••• L•• independent RIA currentsince Sep 18, 2023 · Salt Lake City, Ut
- T•• A•••••••• I••• BD affiliatedNov 18, 2019 to Sep 22, 2023 · Salt Lake City, Ut
- H••••• I••••••••• M••••••••• L•• independent RIAJan 29, 2018 to Nov 18, 2019 · Salt Lake City, Ut
- A••••• C•••••• M••••••••• L•• unclassifiedFeb 21, 2014 to Jan 19, 2018 · Salt Lake City, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 30, 2012 to Dec 11, 2013 · Salt Lake City, Ut
- O••••••••• S••••••••• I••• BD affiliatedJul 15, 2009 to Jul 25, 2012 · Ferndale, Mi
- S••••••• F•••••••• S•••••••• I••• formerOct 12, 2007 to Jul 6, 2009 · Salt Lake City, Ut
- T•• A•••••••• I••• to R•• F••••• W••••• A•••••••• L••left Sep 22, 2023, registered Sep 18, 2023 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- H••••• I••••••••• M••••••••• L•• to T•• A•••••••• I•••left Nov 18, 2019, registered Nov 18, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- A••••• C•••••• M••••••••• L•• to H••••• I••••••••• M••••••••• L••left Jan 19, 2018, registered Jan 29, 2018 (10 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••• C•••••• M••••••••• L••left Dec 11, 2013, registered Feb 21, 2014 (72 days) · Other
- O••••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 25, 2012, registered Oct 30, 2012 (97 days) · Other
- S••••••• F•••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Jul 6, 2009, registered Jul 15, 2009 (9 days) · Other
- L•••• D••••• B•••••••• left T•• A•••••••• I••• for R•• F••••• W••••• A•••••••• L•• (registered 2023-09-18)Sep 22, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address