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•••• P•••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 24, 2021 · Honolulu, Hi
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 18, 2019 to Dec 31, 2020 · Honolulu, Hi
- T• A••••••••• I••• formerJun 18, 2019 to Jan 11, 2021 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 6, 2005 to Oct 22, 2009 · Honolulu, Hi
- T• A••••••••• I••• to L•• F•••••••• L••left Jan 11, 2021, registered Feb 24, 2021 (44 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jun 18, 2019 (-562 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 22, 2009, registered Jun 18, 2019 (3526 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address