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.
R•••• S••••• Y•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 1, 2024 · Aiea, Hi
- C••• F•••••••• S•••••••• L••• formerMay 18, 2015 to Mar 28, 2024 · Kaneohe, Hi
- S•••••••• F••••••••• I••• formerMar 5, 2014 to May 22, 2015 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Oct 18, 2013 · Aiea, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 21, 2009 to Jul 5, 2011 · Kailua, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 7, 2006 to Nov 19, 2009 · Kailua, Hi
- C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••left Mar 28, 2024, registered Apr 1, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to C••• F•••••••• S•••••••• L•••left May 22, 2015, registered May 18, 2015 (-4 days) · Other
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Oct 18, 2013, registered Mar 5, 2014 (138 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to U•••• F•••••••• S••••••• G••••• I•••left Nov 19, 2009, registered Dec 21, 2009 (32 days) · Other
- R•••• S••••• Y••••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2024-04-01)Mar 28, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address