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.
J••• K•••••• L••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Kapolei, Hi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 24, 2022 to Mar 31, 2025 · Salt Lake City, Ut
- A• W••••• M••••••••• L•• BD affiliatedOct 23, 2020 to Nov 18, 2021 · Kapolei, Hi
- M•••••• A••••• S••••••••• L•• BD affiliatedOct 19, 2020 to Oct 22, 2020 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDAug 12, 2020 to Oct 21, 2020 · Honolulu, Hi
- J••• M••••• S••••••••• L•• wirehouseDec 20, 2019 to Jul 30, 2020 · San Francisco, Ca
- C••• F•••••••• S•••••••• L••• formerJan 16, 2019 to Dec 11, 2019 · Castro Valley, Ca
- C••• F•••••••• S•••••••• L••• formerJun 5, 2008 to Nov 30, 2018 · Honolulu, Hi
- C••••• A•••••• N••••••• L•• formerJun 12, 2001 to Sep 18, 2002 · Honolulu, Hi
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A• W••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 18, 2021, registered Jan 24, 2022 (67 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••• S••••••••• L•• to A• W••••• M••••••••• L••left Oct 22, 2020, registered Oct 23, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••••• A•••••••• L•• to M•••••• A••••• S••••••••• L••left Oct 21, 2020, registered Oct 19, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Jul 30, 2020, registered Aug 12, 2020 (13 days) · Wirehouse to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to J••• M••••• S••••••••• L••left Dec 11, 2019, registered Dec 20, 2019 (9 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• A•••••• N••••••• L•• to C••• F•••••••• S•••••••• L•••left Sep 18, 2002, registered Jun 5, 2008 (2087 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address