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.
T•••• P•••••• E••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 16, 2021 · St George, Ut
- K•• I••••••••• S••••••• L•• BD affiliatedNov 30, 2017 to Mar 12, 2021 · Denver, Co
- C•••••••• F••••••••• I••• BD affiliatedApr 13, 2016 to Jun 21, 2016 · Blackfoot, Id
- S•••••••• A••••••• L•• national BDSep 3, 2014 to Apr 1, 2016 · American Fork, Ut
- K•• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 12, 2021, registered Mar 16, 2021 (4 days) · Affiliated broker-dealer or bank to another
- C•••••••• F••••••••• I••• to K•• I••••••••• S••••••• L••left Jun 21, 2016, registered Nov 30, 2017 (527 days) · Other
- S•••••••• A••••••• L•• to C•••••••• F••••••••• I•••left Apr 1, 2016, registered Apr 13, 2016 (12 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
- 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