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•••••• E•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Midvale, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 4, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- D•••••• A••••••• independent RIAApr 16, 2020 to Jul 15, 2021 · Salt Lake City, Ut
- P•• W••••• M••••••••• BD affiliatedMar 15, 2016 to Mar 12, 2020 · Pittsburgh, Pa
- 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
- D•••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 15, 2021, registered Oct 4, 2021 (81 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to D•••••• A•••••••left Mar 12, 2020, registered Apr 16, 2020 (35 days) · Affiliated broker-dealer or bank to independent RIA
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address