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.
C••••• K•••• T•••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Apr 26, 2011 · Mililani, Hi
- O•••• F•• I••• formerOct 1, 2010 to May 4, 2011 · Mililani, Hi
- I••••••• S••••••••• I••• unclassifiedOct 3, 2007 to Sep 1, 2010 · Mlilani, Hi
- A•••••• A•••••••• I••• unclassifiedJan 23, 2007 to Oct 3, 2007 · Kailua, Hi
- O•••• F•• I••• to I•••••••• A•••••••• L••left May 4, 2011, registered Apr 26, 2011 (-8 days) · Other
- I••••••• S••••••••• I••• to O•••• F•• I•••left Sep 1, 2010, registered Oct 1, 2010 (30 days) · Other
- A•••••• A•••••••• I••• to I••••••• S••••••••• I•••left Oct 3, 2007, registered Oct 3, 2007 (0 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address