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.
B•••• R• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 6, 2023 · Whitefish, Mt
- A••••••• W•••••• L•• independent RIAMay 10, 2018 to Dec 14, 2023 · South Jordan, Ut
- S•••••••• A••••••• L•• national BDJun 28, 2016 to Feb 9, 2018 · Salt Lake City, Ut
- A••••••• W•••••• L•• to L•• F•••••••• L••left Dec 14, 2023, registered Dec 6, 2023 (-8 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to A••••••• W•••••• L••left Feb 9, 2018, registered May 10, 2018 (90 days) · Affiliated broker-dealer or bank to independent RIA
- B•••• R• J•••••• left A••••••• W•••••• L•• for L•• F•••••••• L•• (registered 2023-12-06)Dec 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address