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.
P•••••• T••••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 8, 2019 · Honolulu, Hi
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 15, 2019 · Honolulu, Hi
- M•• F•••••••• S•••••••• I••• formerDec 12, 2016 to Mar 25, 2017 · Honolulu, Hi
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 31, 2013 to Dec 13, 2016 · Honolulu, Hi
- I•••••••• A•••••••• L•• BD affiliatedApr 5, 2011 to Jun 4, 2013 · Honolulu, Hi
- H• B•••• I••• formerJul 8, 2010 to Nov 11, 2010 · Meridian, Id
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 11, 2008 to Mar 25, 2009 · San Mateo, Ca
- M•• I•••••••• S•••••••• L•• to O•••• W•••••• I•••left Mar 15, 2019, registered Mar 8, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 13, 2016, registered Dec 12, 2016 (-1 days) · Other
- I•••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jun 4, 2013, registered May 31, 2013 (-4 days) · Other
- H• B•••• I••• to I•••••••• A•••••••• L••left Nov 11, 2010, registered Apr 5, 2011 (145 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H• B•••• I•••left Mar 25, 2009, registered Jul 8, 2010 (470 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address