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.
B•••• K•• W•• L••••
- I••••••••• R••••••• C••• independent RIA currentsince Feb 3, 2015 · Honolulu, Hi
- L•••••• I••••••••• independent RIAJan 2, 2009 to Dec 31, 2014 · Portland, Or
- S••••••• F•••••••• G••••• I••• unclassifiedMar 24, 2005 to Jul 29, 2009 · Pearl City, Hi
- P•• A•••• M••••••••• I•• unclassifiedMay 20, 2004 to Mar 8, 2005 · Pearl City, Hi
- L•••••• I••••••••• to I••••••••• R••••••• C•••left Dec 31, 2014, registered Feb 3, 2015 (34 days) · Other
- S••••••• F•••••••• G••••• I••• to L•••••• I•••••••••left Jul 29, 2009, registered Jan 2, 2009 (-208 days) · Other
- P•• A•••• M••••••••• I•• to S••••••• F•••••••• G••••• I•••left Mar 8, 2005, registered Mar 24, 2005 (16 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address