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.
J••••••• N••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Riverton, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 6, 2023 to Mar 31, 2025 · Salt Lake City, Ut
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Feb 28, 2023 · Murray, Ut
- C••• B•••••••• S•••••••• I••• formerSep 28, 2020 to May 18, 2022 · Waverly, Ia
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 14, 2019 to Sep 18, 2020 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseSep 24, 2018 to Nov 28, 2018 · Salt Lake City, Ut
- E•••••••• A•••••••• L•• national BDApr 20, 2018 to Jun 22, 2018 · Salt Lake City, Ut
- J••• M••••• S••••••••• L•• wirehouseOct 17, 2017 to Feb 12, 2018 · Draper, Ut
- S•••••••• A••••••• L•• national BDSep 3, 2014 to Jul 31, 2017 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 28, 2023, registered Apr 6, 2023 (37 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to C••• B•••••••• S•••••••• I•••left Sep 18, 2020, registered Sep 28, 2020 (10 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 28, 2018, registered Feb 14, 2019 (78 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 22, 2018, registered Sep 24, 2018 (94 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Feb 12, 2018, registered Apr 20, 2018 (67 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jul 31, 2017, registered Oct 17, 2017 (78 days) · Affiliated broker-dealer or bank to wirehouse
- J••••••• N•••••• left L•• F•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-06)Feb 28, 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address