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.
P•••• M••• T••••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 15, 2020 · Honolulu, Hi
- C••••••••• F•••••••• N•••••• national BDJan 2, 2004 to Oct 16, 2020 · Honolulu, Hi
- N•• E•••••• S••••••••• C••••••••• formerAug 23, 1999 to Jan 13, 2004 · Honolulu, Hi
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Oct 16, 2020, registered Oct 15, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• E•••••• S••••••••• C••••••••• to C••••••••• F•••••••• N••••••left Jan 13, 2004, registered Jan 2, 2004 (-11 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address