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.
L••• H••••••• M•••••• B••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Honolulu, Hi
- S••••••• I••••••••• I••• formerJul 3, 2008 to Nov 5, 2018 · Honolulu, Hi
- F•• S••••••••• C••••••••• formerOct 3, 2007 to Jul 2, 2008 · Ewa Beach, Hi
- S••••••• I••••••••• I••• formerAug 13, 2007 to Sep 18, 2007 · Honolulu, Hi
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 5, 2018, registered Nov 2, 2018 (-3 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to S••••••• I••••••••• I•••left Jul 2, 2008, registered Jul 3, 2008 (1 days) · Other
- S••••••• I••••••••• I••• to F•• S••••••••• C•••••••••left Sep 18, 2007, registered Oct 3, 2007 (15 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