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.
F•••••• K••••••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Honolulu, Hi
- S••••• F•••••••• G•••• I•• formerSep 9, 2016 to May 20, 2021 · Honolulu, Hi
- V•• A••••••• S••••••• formerMay 6, 2013 to Nov 2, 2016 · Overland Park, Ks
- C•••• C•••••• S••••••••• L••• formerApr 12, 2010 to May 17, 2013 · Honolulu, Hi
- S••••••••• A•••••• A•••••••• I••• formerAug 5, 2009 to Apr 13, 2010 · Honolulu, Hi
- C••••• A•••••• N••••••• L•• formerJun 20, 2007 to Jul 31, 2009 · Honolulu, Hi
- C•••••• S••••• • C••• I••• national BDOct 12, 2005 to Jan 19, 2006 · Honolulu, Hi
- W•••• F•••• I••••••••• L•• unclassifiedSep 13, 2004 to Aug 31, 2005 · San Jose, Ca
- W••• I••••••••• I••• unclassifiedAug 17, 2004 to Aug 27, 2004 · Mountain View , Ca
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Nov 2, 2016, registered Sep 9, 2016 (-54 days) · channel change inside one enterprise, not a move · moved with a team
- C•••• C•••••• S••••••••• L••• to V•• A••••••• S•••••••left May 17, 2013, registered May 6, 2013 (-11 days) · Other
- S••••••••• A•••••• A•••••••• I••• to C•••• C•••••• S••••••••• L•••left Apr 13, 2010, registered Apr 12, 2010 (-1 days) · Other
- C••••• A•••••• N••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 31, 2009, registered Aug 5, 2009 (5 days) · Other
- C•••••• S••••• • C••• I••• to C••••• A•••••• N••••••• L••left Jan 19, 2006, registered Jun 20, 2007 (517 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 31, 2005, registered Oct 12, 2005 (42 days) · Other
- W••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Aug 27, 2004, registered Sep 13, 2004 (17 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address