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.
K•••••• L•• R••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 28, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseJun 7, 2018 to Aug 5, 2021 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseJan 8, 2018 to Jan 23, 2018 · Orem, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 12, 2014 to Jul 12, 2017 · Draper, Ut
- T• A••••••••• I••• formerAug 12, 2014 to Jul 12, 2017 · Draper, 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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 5, 2021, registered Sep 28, 2021 (54 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 23, 2018, registered Jun 7, 2018 (135 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 12, 2017, registered Aug 12, 2014 (-1065 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 12, 2017, registered Aug 12, 2014 (-1065 days) · Other · moved with a team
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address