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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 3, 2017 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerJul 31, 2014 to May 2, 2017 · Honolulu, Hi
- W••••••••• I••• unclassifiedDec 23, 2013 to Aug 1, 2014 · Honolulu, Hi
- H•••••••• I••••••••• C••••••••• independent RIAJul 9, 2013 to Oct 11, 2013 · Mcminnville, Or
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 2, 2017, registered May 3, 2017 (1 days) · corporate re-registration, not a move
- W••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 1, 2014, registered Jul 31, 2014 (-1 days) · Other
- H•••••••• I••••••••• C••••••••• to W••••••••• I•••left Oct 11, 2013, registered Dec 23, 2013 (73 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address