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.
T••••• L• S• L•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 20, 2017 · Pearl City, Hi
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 18, 2017 to Nov 21, 2017 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedMar 27, 2014 to Apr 27, 2017 · Honolulu, Hi
- B••••• A••••••• formerNov 2, 2010 to Feb 14, 2014 · Honolulu, Hi
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Nov 21, 2017, registered Nov 20, 2017 (-1 days) · Other · moved with a team
- 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 Feb 14, 2014, registered Mar 27, 2014 (41 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address