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.
D••••••• M•••• M••••••
- M•••••• F•••••••• • C••• independent RIA currentsince May 9, 2022 · Park City, Ut
- T••••• W•••••• L••••• independent RIASep 2, 2020 to Mar 4, 2022 · Draper, Ut
- S••••••••• W••••• A••••••• L•• state registeredJul 17, 2018 to Aug 7, 2020 · Albuquerque, Nm
- U•• F•••••••• S••••••• I••• wirehouseJan 7, 2016 to Sep 14, 2016 · Albuquerque, Nm
- S••••• I••••••••• M••••••••• L•• independent RIAJun 30, 2014 to Sep 22, 2015 · Tucson, Az
- T••••• W•••••• L••••• to M•••••• F•••••••• • C•••left Mar 4, 2022, registered May 9, 2022 (66 days) · RIA to RIA
- S••••••••• W••••• A••••••• L•• to T••••• W•••••• L•••••left Aug 7, 2020, registered Sep 2, 2020 (26 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••••• W••••• A••••••• L••left Sep 14, 2016, registered Jul 17, 2018 (671 days) · Wirehouse to a state-registered adviser
- S••••• I••••••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 22, 2015, registered Jan 7, 2016 (107 days) · Other
- D••••••• M•••• M•••••• left T••••• W•••••• L••••• for M•••••• F•••••••• • C••• (registered 2022-05-09)Mar 4, 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address