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.
E•••• F•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 6, 2021 · Kailua Kona, Hi
- B••••• A••••••• formerSep 4, 2019 to May 21, 2021 · Kailua-Kona, Hi
- L•• F•••••••• L•• BD affiliatedNov 20, 2017 to Jul 24, 2019 · Hilo, Hi
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 18, 2017 to Nov 21, 2017 · Kailua Kona, Hi
- L•• F•••••••• L•• BD affiliatedAug 20, 2012 to Apr 27, 2017 · Kailua Kona, Hi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 1, 2011 to Aug 21, 2012 · Kailua-Kona, Hi
- U•• F•••••••• S••••••• I••• wirehouseMar 31, 2003 to Jul 23, 2004 · Beverly Hills, Ca
- B••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 21, 2021, registered Aug 6, 2021 (77 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to B••••• A•••••••left Jul 24, 2019, registered Sep 4, 2019 (42 days) · RIA to RIA
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Nov 21, 2017, registered Nov 20, 2017 (-1 days) · Other · moved with a team
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 27, 2017, registered Apr 18, 2017 (-9 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Aug 21, 2012, registered Aug 20, 2012 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 23, 2004, registered Jul 1, 2011 (2534 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address