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.
D•••• K•• J•••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Aug 14, 2017 · Austin, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 11, 2017 · Provo, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 21, 2003 to Jun 1, 2009 · Provo, Ut
- M••••• S•••••• D• I••• unclassifiedApr 8, 2003 to Apr 16, 2003 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Apr 11, 2003 · Provo, Ut
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Aug 11, 2017, registered Aug 14, 2017 (3 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Apr 16, 2003, registered Apr 21, 2003 (5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Apr 11, 2003, registered Apr 8, 2003 (-3 days) · Other
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address