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.
- M••••• S•••••• wirehouse currentsince Feb 25, 2015 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseApr 5, 2010 to Feb 26, 2015 · Honolulu, Hi
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 8, 2010 · Honolulu, Hi
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 16, 2005 to Jun 1, 2009 · Honolulu, Hi
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Feb 26, 2015, registered Feb 25, 2015 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 8, 2010, registered Apr 5, 2010 (-3 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address