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.
S••••• T•••••• Y••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 3, 2022 · Honolulu, Hi
- B••••• A••••••• formerMar 23, 2015 to Feb 28, 2022 · Honolulu, Hi
- P••• A••••• S••••••••• L•• BD affiliatedFeb 16, 2007 to Apr 1, 2015 · Honolulu, Hi
- E•••••••• A•••••••• L•• national BDNov 30, 2001 to Jan 30, 2003 · Honolulu, Hi
- B••••• A••••••• to L•• F•••••••• L••left Feb 28, 2022, registered Mar 3, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- P••• A••••• S••••••••• L•• to B••••• A•••••••left Apr 1, 2015, registered Mar 23, 2015 (-9 days) · Other
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jan 30, 2003, registered Feb 16, 2007 (1478 days) · Other
- S••••• T•••••• Y•••••••• left B••••• A••••••• for L•• F•••••••• L•• (registered 2022-03-03)Feb 28, 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address