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.
C•••••• E•••••••• M•••••
- B••• W••••• S••••••••• L•• independent RIA currentsince Nov 28, 2022 · Kapolei, Hi
- O•• T••• F•••••••• G•••• L•• unclassifiedApr 18, 2022 to Nov 22, 2022 · Kapolei, Hi
- O•• T••• F•••••••• G•••• L•• unclassifiedJul 15, 2020 to Mar 31, 2022 · Kapolei, Hi
- F•••• C•••••• A••••••• S••••••• BD affiliatedSep 21, 2017 to May 7, 2020 · Aiea, Hi
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Sep 21, 2017 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerAug 26, 2015 to Dec 15, 2015 · Fort Worth, Tx
- O•• T••• F•••••••• G•••• L•• to B••• W••••• S••••••••• L••left Nov 22, 2022, registered Nov 28, 2022 (6 days) · Other
- F•••• C•••••• A••••••• S••••••• to O•• T••• F•••••••• G•••• L••left May 7, 2020, registered Jul 15, 2020 (69 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
- C•••••• E•••••••• M••••• left O•• T••• F•••••••• G•••• L•• for B••• W••••• S••••••••• L•• (registered 2022-11-28)Nov 22, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address