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.
S•••••• L•• F•••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Ogden, Ut
- S•••••••• F••••••••• I••• formerMar 31, 2023 to Sep 1, 2023 · Pleasant View, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 12, 2021 to Apr 11, 2023 · Ogden, Ut
- E•••••• A••••••• G••••• L•• BD affiliatedMar 9, 2020 to May 12, 2021 · Greenwood Village, Co
- M••••• S•••••• wirehouseAug 1, 2019 to Feb 19, 2020 · Boulder, Co
- A••••••••• F•••••••• S•••••••• L•• national BDMay 25, 2016 to Jul 10, 2019 · Boulder, Co
- M••••• S•••••• wirehouseMar 7, 2012 to Mar 9, 2015 · Chesterfield, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDAug 8, 2011 to Feb 13, 2012 · Kansas City, Mo
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••left Apr 11, 2023, registered Mar 31, 2023 (-11 days) · Affiliated broker-dealer or bank to another
- E•••••• A••••••• G••••• L•• to M•• I•••••••• S•••••••• L••left May 12, 2021, registered Nov 12, 2021 (184 days) · Other
- M••••• S•••••• to E•••••• A••••••• G••••• L••left Feb 19, 2020, registered Mar 9, 2020 (19 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jul 10, 2019, registered Aug 1, 2019 (22 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 9, 2015, registered May 25, 2016 (443 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Feb 13, 2012, registered Mar 7, 2012 (23 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• L•• F••••• left M•• I•••••••• S•••••••• L•• for S•••••••• F••••••••• I••• (registered 2023-03-31)Apr 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address