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.
R••••• C•••••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Aug 5, 2019 · Layton, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Feb 1, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 13, 2012 to Jul 13, 2018 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to O••••••••• S••••••••• I•••left Feb 1, 2019, registered Aug 5, 2019 (185 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- R••••• C••••••• added a OK registration at O••••••••• S••••••••• I•••Sep 14, 2026 · New state registration · fact
- R••••• C••••••• added a FL registration at O••••••••• S••••••••• I•••Sep 1, 2026 · New state registration · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address