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•••• E••••• A••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 18, 2019 · Honolulu, Hi
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jan 23, 2019 · Honolulu, Hi
- M•• F•••••••• S•••••••• I••• formerMar 19, 2014 to Mar 25, 2017 · Honolulu, Hi
- S••••••• I••••••••• I••• formerApr 7, 2010 to Mar 11, 2014 · Honolulu, Hi
- P•••••••• S••••••••• I••• BD affiliatedJul 7, 2000 to Dec 11, 2009 · Mililani, Hi
- M•• I•••••••• S•••••••• L•• to O•••• W•••••• I•••left Jan 23, 2019, registered Jan 18, 2019 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Mar 11, 2014, registered Mar 19, 2014 (8 days) · Other
- P•••••••• S••••••••• I••• to S••••••• I••••••••• I•••left Dec 11, 2009, registered Apr 7, 2010 (117 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address