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.
- M••••• S•••••• wirehouse currentsince Nov 4, 2025 · Sandy, Ut
- W•••• F•••• A••••••• wirehouseAug 22, 2024 to Oct 27, 2025 · Salt Lake City, Ut
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 20, 2023 to Jul 17, 2024 · Minneapolis, Mn
- S••• W••••• L•• BD affiliatedJun 5, 2023 to Dec 19, 2023 · San Francisco, Ca
- M••••• S•••••• wirehouseJan 12, 2023 to May 16, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerAug 2, 2018 to May 16, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerApr 26, 2016 to Apr 13, 2018 · Sandy, Ut
- T• A••••••••• I••• formerOct 31, 2011 to Apr 19, 2016 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 31, 2011 to Apr 19, 2016 · Omaha, Ne
- W•••• F•••• A••••••• to M••••• S••••••left Oct 27, 2025, registered Nov 4, 2025 (8 days) · Wirehouse to wirehouse
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Jul 17, 2024, registered Aug 22, 2024 (36 days) · Affiliated broker-dealer or bank to wirehouse
- S••• W••••• L•• to T••••••• I••••••••• M••••••••• I•••left Dec 19, 2023, registered Dec 20, 2023 (1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S••• W••••• L••left May 16, 2023, registered Jun 5, 2023 (20 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left May 16, 2023, registered Jan 12, 2023 (-124 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 19, 2016, registered Oct 31, 2011 (-1632 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 19, 2016, registered Oct 31, 2011 (-1632 days) · Other
- D••••• D•••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2025-11-04)Oct 27, 2025 · Advisor changed firm · fact
- D••••• D•••• left T••••••• I••••••••• M••••••••• I••• for W•••• F•••• A••••••• (registered 2024-08-22)Jul 17, 2024 · Advisor changed firm · fact
- D••••• D•••• left S••• W••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2023-12-20)Dec 19, 2023 · Advisor changed firm · fact
- D••••• D•••• left M••••• S•••••• for S••• W••••• L•• (registered 2023-06-05)May 16, 2023 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address