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.
J••••• I••••• L•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 16, 2025 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• national BDMay 7, 2025 to Sep 9, 2025 · Honolulu, Hi
- L•• F•••••••• L•• BD affiliatedNov 12, 2024 to Dec 20, 2024 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 8, 2022 to Sep 18, 2024 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Sep 9, 2025, registered Sep 16, 2025 (7 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 20, 2024, registered May 7, 2025 (138 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 18, 2024, registered Nov 12, 2024 (55 days) · Affiliated broker-dealer or bank to another
- J••••• I••••• L••••••• left A••••••••• F•••••••• S•••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-09-16)Sep 9, 2025 · Advisor changed firm · fact
- J••••• I••••• L••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-05-07)Dec 20, 2024 · Advisor changed firm · fact
- J••••• I••••• L••••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-11-12)Sep 18, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address