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•••••• P••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lehi, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 11, 2023 to Mar 31, 2025 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• formerMar 27, 2018 to Oct 25, 2022 · Sandy, Ut
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 15, 2017 to Mar 16, 2018 · Midvale, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 12, 2015 to Jun 21, 2017 · Draper, Ut
- T• A••••••••• I••• formerMay 12, 2015 to Jun 21, 2017 · Draper, 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 25, 2022, registered Jan 11, 2023 (78 days) · RIA to affiliated broker-dealer or bank · moved with a team
- V••• F•••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••left Mar 16, 2018, registered Mar 27, 2018 (11 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 21, 2017, registered May 12, 2015 (-771 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 21, 2017, registered May 12, 2015 (-771 days) · Other
- P•••••• P•••••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-01-11)Oct 25, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address