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.
P••• B••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 30, 2022 · St. Louis, Mo
- B•• P•••••••• I••• BD affiliatedNov 4, 2020 to Dec 3, 2020 · Salt Lake City, Ut
- M••••• S•••••• wirehouseSep 10, 2015 to Nov 19, 2018 · South Jordan, Ut
- B•• P•••••••• I••• to W•••• F•••• A•••••••left Dec 3, 2020, registered Jun 30, 2022 (574 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to B•• P•••••••• I•••left Nov 19, 2018, registered Nov 4, 2020 (716 days) · Wirehouse to affiliated broker-dealer or bank
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address