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•••• T••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 17, 2024 · Salt Lake City, Ut
- C••• L•• BD affiliatedSep 27, 2023 to Oct 1, 2024 · Cottonwood Heights, Ut
- T•••• W••••• G•••• L•• independent RIASep 6, 2022 to Sep 11, 2023 · Murray, Ut
- D••••• R••••••••• P••••••• I••• independent RIAAug 25, 2017 to Nov 7, 2022 · Kirkland, Wa
- E•••••• C•••••• M••••••••• L•• formerSep 1, 2016 to Jun 7, 2017 · Sandy, Ut
- C••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2024, registered Oct 17, 2024 (16 days) · Affiliated broker-dealer or bank to wirehouse
- T•••• W••••• G•••• L•• to C••• L••left Sep 11, 2023, registered Sep 27, 2023 (16 days) · RIA to affiliated broker-dealer or bank
- D••••• R••••••••• P••••••• I••• to T•••• W••••• G•••• L••left Nov 7, 2022, registered Sep 6, 2022 (-62 days) · RIA to RIA
- E•••••• C•••••• M••••••••• L•• to D••••• R••••••••• P••••••• I•••left Jun 7, 2017, registered Aug 25, 2017 (79 days) · Other
- B•••• T•••• left C••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-17)Oct 1, 2024 · Advisor changed firm · fact
- B•••• T•••• left T•••• W••••• G•••• L•• for C••• L•• (registered 2023-09-27)Sep 11, 2023 · Advisor changed firm · fact
- B•••• T•••• left D••••• R••••••••• P••••••• I••• for T•••• W••••• G•••• L•• (registered 2022-09-06)Nov 7, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address