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••••• H• W•• L••
- L•• F•••••••• L•• BD affiliated currentsince Oct 11, 2022 · Honolulu, Hi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2019 to Oct 14, 2022 · Honolulu, Hi
- C••• B•••••••• S•••••••• I••• formerAug 3, 2018 to Oct 2, 2019 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerJan 26, 2017 to Jul 11, 2018 · Fort Shafter, Hi
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 17, 2015 to Oct 28, 2015 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedApr 20, 2015 to Jun 25, 2015 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 14, 2022, registered Oct 11, 2022 (-3 days) · Wirehouse to independent RIA
- C••• B•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 2, 2019, registered Oct 7, 2019 (5 days) · Affiliated broker-dealer or bank to wirehouse
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Jul 11, 2018, registered Aug 3, 2018 (23 days) · Affiliated broker-dealer or bank to independent RIA
- B• R•••• W••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 28, 2015, registered Jan 26, 2017 (456 days) · Other
- L•• F•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jun 25, 2015, registered Jul 17, 2015 (22 days) · Other
- M••••• H• W•• L•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-10-11)Oct 14, 2022 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address