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•• Q••••
- S••• W••••• L•• BD affiliated currentsince Dec 22, 2025 · Cottonwood Heights, Ut
- M••••• S•••••• wirehouseMay 7, 2025 to Nov 25, 2025 · Sandy, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 10, 2023 to Mar 15, 2024 · New York, Ny
- M••••• S•••••• to S••• W••••• L••left Nov 25, 2025, registered Dec 22, 2025 (27 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 15, 2024, registered May 7, 2025 (418 days) · Wirehouse to wirehouse
- D•• Q•••• left M••••• S•••••• for S••• W••••• L•• (registered 2025-12-22)Nov 25, 2025 · Advisor changed firm · fact
- D•• Q•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2025-05-07)Mar 15, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address