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•• B•• A•
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 24, 2017 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 23, 2015 to May 2, 2017 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Dec 9, 2015 · Honolulu, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 19, 2010 to Jul 5, 2011 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 6, 2006 to Aug 2, 2010 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 2, 2017, registered May 24, 2017 (22 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 9, 2015, registered Nov 23, 2015 (-16 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 2, 2010, registered Aug 19, 2010 (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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address