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••••••• M•••• M••••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2021 · Salt Lake City, Ut
- S••••••••• A•••••• A•••••••• I••• formerMar 14, 2019 to Dec 23, 2021 · Sandy, Ut
- H•••••• T••••••• • K•••• L•• independent RIAJan 31, 2017 to Jan 29, 2019 · Holladay, Ut
- W•••••• • R••• formerMay 19, 2014 to Dec 2, 2016 · Clearfield, Ut
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 23, 2021, registered Dec 16, 2021 (-7 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 29, 2019, registered Mar 14, 2019 (44 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to H•••••• T••••••• • K•••• L••left Dec 2, 2016, registered Jan 31, 2017 (60 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address