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 May 2, 2013 · Honolulu, Hi
- U•• F•••••••• S••••••• I••• wirehouseSep 16, 2009 to May 10, 2013 · Honolulu, Hi
- L•••• A••••• • C•• L•• asset managerNov 1, 2004 to Jun 17, 2009 · Jersey City, Nj
- B••••••• I••••••••• S•••••••• I••• ••••• formerJan 7, 2004 to Oct 5, 2004 · Honolulu, Hi
- M••••• S•••••• D• I••• unclassifiedJun 4, 1998 to Jul 7, 2003 · Honolulu, Hi
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 10, 2013, registered May 2, 2013 (-8 days) · Wirehouse to wirehouse
- L•••• A••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jun 17, 2009, registered Sep 16, 2009 (91 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to L•••• A••••• • C•• L••left Oct 5, 2004, registered Nov 1, 2004 (27 days) · Other
- M••••• S•••••• D• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 7, 2003, registered Jan 7, 2004 (184 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address