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.
C••••••••• R••••• S••••
- U••••• C•••••• F•••••••• A••••••• independent RIA currentsince Feb 19, 2019 · Holladay, Ut
- M•• A••••••• F•••••••• M••••••••• I••• formerApr 15, 2019 to Jul 8, 2019 · Salt Lake City, Ut
- M•• A••••••• F•••••••• M••••••••• I••• formerOct 11, 2010 to Feb 15, 2019 · Salt Lake City, Ut
- W•••••• • R••• formerSep 2, 2009 to Sep 17, 2010 · Clearfield, Ut
- M•• A••••••• F•••••••• M••••••••• I••• to no registered destinationleft Jul 8, 2019 · Departure, no registered destination
- M•• A••••••• F•••••••• M••••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Feb 15, 2019, registered Feb 19, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• • R••• to M•• A••••••• F•••••••• M••••••••• I•••left Sep 17, 2010, registered Oct 11, 2010 (24 days) · Other
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address