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.
A•••• L••• K•••• S••••
- E••••• J•••• national BD currentsince Apr 26, 2024 · Honolulu, Hi
- L•• F•••••••• G•••• H•••••• I••• formerFeb 2, 2016 to Apr 22, 2024 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedDec 3, 2015 to Feb 5, 2016 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 23, 2012 to Dec 4, 2013 · San Jose, Ca
- E•••••• C•••••• M••••••••• L•• formerMay 23, 2011 to Feb 21, 2012 · Arlington, Va
- M••••• S•••••• D• I••• unclassifiedMay 1, 1997 to Oct 31, 2002 · Honolulu, Hi
- L•• F•••••••• G•••• H•••••• I••• to E••••• J••••left Apr 22, 2024, registered Apr 26, 2024 (4 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to L•• F•••••••• G•••• H•••••• I•••left Feb 5, 2016, registered Feb 2, 2016 (-3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Dec 4, 2013, registered Dec 3, 2015 (729 days) · Other
- E•••••• C•••••• M••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Feb 21, 2012, registered Feb 23, 2012 (2 days) · Other
- M••••• S•••••• D• I••• to E•••••• C•••••• M••••••••• L••left Oct 31, 2002, registered May 23, 2011 (3126 days) · Other
- A•••• L••• K•••• S•••• left L•• F•••••••• G•••• H•••••• I••• for E••••• J•••• (registered 2024-04-26)Apr 22, 2024 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address