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.
S•••••• L••••• K•••••
- S••••••••• C••••••• I••• independent RIA currentsince Jan 1, 2025 · Honolulu, Hi
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to Dec 31, 2009 · Monrovia, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJun 19, 1998 to Sep 4, 2009 · Monrovia, Ca
- T••••••••• F•••••••• A•••••••• L•• to S••••••••• C••••••• I•••left Dec 31, 2009, registered Jan 1, 2025 (5480 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address