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.
G•••••• G•••••• N••••
- F••••• I••••••••• independent RIA currentsince Jul 3, 2014 · Plano, Tx
- M••••• S•••••• wirehouseAug 21, 2012 to Jun 10, 2014 · South Jordan, Ut
- W•••• F•••• A••••••• wirehouseDec 9, 2011 to Jul 19, 2012 · Salt Lake City, Ut
- E••••• J•••• national BDJul 12, 2011 to Nov 11, 2011 · Bountiful, Ut
- M••••• S•••••• to F••••• I•••••••••left Jun 10, 2014, registered Jul 3, 2014 (23 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Jul 19, 2012, registered Aug 21, 2012 (33 days) · Wirehouse to wirehouse
- E••••• J•••• to W•••• F•••• A•••••••left Nov 11, 2011, registered Dec 9, 2011 (28 days) · Affiliated broker-dealer or bank to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address