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••• G•••• D••••••
- O••• F•••••••• A•••••••• L•• independent RIA currentsince Sep 15, 2021 · Idaho Falls, Id
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 1, 2020 to Aug 9, 2021 · Salt Lake City, Ut
- S•• BD affiliatedMar 5, 2019 to Jun 25, 2020 · Orem, Ut
- P•••••••• W••••• A•••••••• I••• independent RIASep 19, 2018 to Mar 13, 2019 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 14, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 13, 2018 to Jul 13, 2018 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to O••• F•••••••• A•••••••• L••left Aug 9, 2021, registered Sep 15, 2021 (37 days) · Affiliated broker-dealer or bank to independent RIA
- S•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 25, 2020, registered Jul 1, 2020 (6 days) · Affiliated broker-dealer or bank to another
- P•••••••• W••••• A•••••••• I••• to S••left Mar 13, 2019, registered Mar 5, 2019 (-8 days) · RIA to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to P•••••••• W••••• A•••••••• I•••left Aug 14, 2018, registered Sep 19, 2018 (36 days) · Affiliated broker-dealer or bank to independent RIA
- 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
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
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address