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.
M••••• B••••••••
- F•••• P•••• F•••••••• P•••••••• L•• state registered currentsince Jan 2, 2021 · Pleasant Grove, Ut
- D••• I••••••••• L•• formerMay 7, 2019 to Dec 11, 2020 · South Jordan, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 25, 2018 to Apr 25, 2019 · American Fork, Ut
- D••• I••••••••• L•• to F•••• P•••• F•••••••• P•••••••• L••left Dec 11, 2020, registered Jan 2, 2021 (22 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F••••••• P••••••• A•• W•••••••• A••••••• to D••• I••••••••• L••left Apr 25, 2019, registered May 7, 2019 (12 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address