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.
C••••• I•• S•• I••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 18, 2017 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedJun 20, 2016 to Apr 27, 2017 · Honolulu, Hi
- B••••• A••••••• formerApr 7, 2005 to Jun 7, 2016 · Honolulu, Hi
- D•• I••••••• S••••••• unclassifiedMar 11, 2004 to Mar 25, 2005 · Honolulu, Hi
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 27, 2017, registered Apr 18, 2017 (-9 days) · Other · moved with a team
- B••••• A••••••• to L•• F•••••••• L••left Jun 7, 2016, registered Jun 20, 2016 (13 days) · Other
- D•• I••••••• S••••••• to B••••• A•••••••left Mar 25, 2005, registered Apr 7, 2005 (13 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address