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.
- E••••• J•••• national BD currentsince Dec 20, 2023 · Lihue, Hi
- B••••• A••••••• formerSep 16, 2022 to Dec 8, 2023 · Honolulu, Hi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 3, 2017 to Aug 18, 2020 · Lihue, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 14, 2015 to May 2, 2017 · Eleele, Hi
- L•• F•••••••• L•• BD affiliatedOct 23, 2013 to Jul 7, 2015 · Hanapepe, Hi
- V•• A••••••• S••••••• formerFeb 28, 2011 to Oct 31, 2011 · Honolulu, Hi
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 9, 2010 to Nov 4, 2010 · Aiea, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 16, 2006 to May 18, 2010 · Aiea, Hi
- B••••• A••••••• to E••••• J••••left Dec 8, 2023, registered Dec 20, 2023 (12 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••• A•••••••left Aug 18, 2020, registered Sep 16, 2022 (759 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 2, 2017, registered May 3, 2017 (1 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 7, 2015, registered Jul 14, 2015 (7 days) · Other
- V•• A••••••• S••••••• to L•• F•••••••• L••left Oct 31, 2011, registered Oct 23, 2013 (723 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to V•• A••••••• S•••••••left Nov 4, 2010, registered Feb 28, 2011 (116 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to U•••• F•••••••• S••••••• G••••• I•••left May 18, 2010, registered Jun 9, 2010 (22 days) · Other
- N••••• F• N••••••• left B••••• A••••••• for E••••• J•••• (registered 2023-12-20)Dec 8, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address