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••••••• T••• S••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Draper, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 25, 2023 to Mar 31, 2025 · Salt Lake City, Ut
- N•• W•••• A••••••• G••••• L•• independent RIAAug 30, 2022 to Feb 21, 2023 · Sandy, 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
- N•• W•••• A••••••• G••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 21, 2023, registered Apr 25, 2023 (63 days) · RIA to affiliated broker-dealer or bank
- M••••••• T••• S•••••• left N•• W•••• A••••••• G••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-25)Feb 21, 2023 · 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