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.
K••• R••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 17, 2018 · Honolulu, Hi
- S••••••• I••••••••• I••• formerAug 3, 2015 to Apr 23, 2018 · Honolulu, Hi
- V•• A••••••• S••••••• formerJan 16, 2015 to Aug 4, 2015 · Honolulu, Hi
- S••••••• I••••••••• I••• formerJan 25, 2010 to Mar 6, 2013 · Honolulu, Hi
- S••••••• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 23, 2018, registered Apr 17, 2018 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- V•• A••••••• S••••••• to S••••••• I••••••••• I•••left Aug 4, 2015, registered Aug 3, 2015 (-1 days) · Other
- S••••••• I••••••••• I••• to V•• A••••••• S•••••••left Mar 6, 2013, registered Jan 16, 2015 (681 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address