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.
A••••• L•••••• A•••••••••
- C••••• F•••••••• N••••••• L•• independent RIA currentsince Aug 16, 2024 · Draper, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 21, 2020 to Jun 3, 2022 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 21, 2017 to Nov 5, 2018 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••• F•••••••• N••••••• L••left Jun 3, 2022, registered Aug 16, 2024 (805 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 5, 2018, registered Aug 21, 2020 (655 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• L•••••• A••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••••• F•••••••• N••••••• L•• (registered 2024-08-16)Jun 3, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address