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•••• D•• C••••• A•••••••
- E••••• J•••• national BD currentsince Apr 9, 2019 · Taylorsville, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 22, 2018 to Jan 4, 2019 · Salt Lake City, Ut
- C•••• A••••••• independent RIAFeb 27, 2017 to Jan 3, 2018 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jan 4, 2019, registered Apr 9, 2019 (95 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 3, 2018, registered Mar 22, 2018 (78 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address