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.
D••••• R••• R•••••
- O••••••••• W••••• M••••••••• L•• independent RIA currentsince Jul 9, 2019 · Cottonwood Heights, Ut
- G••••• R••••••••• P••••••• L•• institutionalAug 22, 2016 to May 16, 2019 · Salt Lake City, Ut
- P•••••••• S••••••••• I••• BD affiliatedAug 1, 2011 to Aug 22, 2016 · Sandy, Ut
- M••••• S•••••• wirehouseJun 16, 2010 to Jan 14, 2011 · Salt Lake City, Ut
- G••••• R••••••••• P••••••• L•• to O••••••••• W••••• M••••••••• L••left May 16, 2019, registered Jul 9, 2019 (54 days) · Other
- P•••••••• S••••••••• I••• to G••••• R••••••••• P••••••• L••left Aug 22, 2016, registered Aug 22, 2016 (0 days) · Other
- M••••• S•••••• to P•••••••• S••••••••• I•••left Jan 14, 2011, registered Aug 1, 2011 (199 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address