Ralph C. Shive

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CRD#: 1130724

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ralph Clayton Shive, who also goes by Ralph C Shive, Ralph Carl Shive, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 2001. Ralph had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Aliases

Ralph C Shive | Ralph Carl Shive

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 24, 2009 - June 1, 2017

WASATCH ADVISORS LP

RIA

CRD#: 106081

SALT LAKE CITY, UT

Past

April 17, 2001 - December 19, 2008

1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.

RIA

CRD#: 111331

SOUTH BEND, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WASATCH ADVISORS LP

CRD#: 106081 / SEC#: 801-11095

RIA

Registered Investment Advisory firm - (10/23/1975 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

WASATCH ADVISORS LP

CRD#: 106081 / SEC#: 801-11095

RIA

Registered Investment Advisory firm - (10/23/1975 Approved)

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Contact information

Main Address

505 Wakara Way 3rd Floor, Salt Lake City, UT 84108

Mailing Address

Phone number

(801) 533-0777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	244
AUM (Assets Under Management)	$ 27,916,763,225

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ralph C. Shive

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WASATCH ADVISORS LP

1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.

Primary Firm SEC Registration

WASATCH ADVISORS LP

State Registrations and Notice Filings

Exams

Current Firm

WASATCH ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WASATCH ADVISORS LP

TRUST BUT VERIFY

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