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.
J•••• M••••••• D•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 3, 2017 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 22, 2010 to May 2, 2017 · Honolulu, Hi
- L•• F•••••••• G•••• H•••••• I••• formerMar 6, 2007 to Aug 28, 2007 · Honolulu, Hi
- L•• formerMar 28, 2005 to Sep 8, 2006 · Seattle, Wa
- 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•••••••• G•••• H•••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 28, 2007, registered Jun 22, 2010 (1029 days) · Other
- L•• to L•• F•••••••• G•••• H•••••• I•••left Sep 8, 2006, registered Mar 6, 2007 (179 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address