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.
E•••••• A•••••
- S••• W••••• L•• BD affiliated currentsince Apr 28, 2022 · San Francisco, Ca
- L•• F•••••••• L•• BD affiliatedFeb 20, 2020 to Nov 9, 2021 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 15, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 19, 2016 to Jul 13, 2018 · Salt Lake City, Ut
- L•• F•••••••• L•• to S••• W••••• L••left Nov 9, 2021, registered Apr 28, 2022 (170 days) · Affiliated broker-dealer or bank to independent RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Nov 15, 2018, registered Feb 20, 2020 (462 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address