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••••••• M•••• V••••••••
- E••••• J•••• national BD currentsince Jul 12, 2016 · Hilo, Hi
- B••••• A••••••• formerOct 19, 2015 to Nov 2, 2015 · Honolulu, Hi
- E••••• J•••• national BDDec 8, 2014 to Oct 13, 2015 · Hilo, Hi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2000 to Nov 4, 2009 · Hilo, Hi
- B••••• A••••••• to E••••• J••••left Nov 2, 2015, registered Jul 12, 2016 (253 days) · Other
- E••••• J•••• to B••••• A•••••••left Oct 13, 2015, registered Oct 19, 2015 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Nov 4, 2009, registered Dec 8, 2014 (1860 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address