RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 28, 2016 · Honolulu, Hi
• E••••• J•••• national BD
  Apr 26, 2016 to May 31, 2016 · Kailua, Hi
• L•• F•••••••• L•• BD affiliated
  Aug 11, 2010 to May 10, 2016 · Honolulu, Hi
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Sep 7, 2006 to May 26, 2010 · Aiea, Hi

• E••••• J•••• to L•• F•••••••• L••
  left May 31, 2016, registered Jun 28, 2016 (28 days) · Other · moved with a team
• L•• F•••••••• L•• to E••••• J••••
  left May 10, 2016, registered Apr 26, 2016 (-14 days) · Other
• B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
  left May 26, 2010, registered Aug 11, 2010 (77 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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address