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.
G•••• T•••• T••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 28, 2019 · Honolulu, Hi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 12, 2017 to Mar 14, 2019 · Honolulu, Hi
- M••••• S•••••• wirehouseSep 11, 2015 to Jun 26, 2017 · Honolulu, Hi
- B••••• A••••••• formerSep 29, 2014 to Sep 11, 2015 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 19, 2004 to Sep 26, 2006 · Aiea, Hi
- D•• I••••••• S••••••• unclassifiedMar 18, 2004 to Aug 2, 2004 · Honolulu, Hi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 14, 2019, registered Mar 28, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 26, 2017, registered Jul 12, 2017 (16 days) · Other
- B••••• A••••••• to M••••• S••••••left Sep 11, 2015, registered Sep 11, 2015 (0 days) · Other · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to B••••• A•••••••left Sep 26, 2006, registered Sep 29, 2014 (2925 days) · Other
- D•• I••••••• S••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 2, 2004, registered Aug 19, 2004 (17 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address