RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Nov 9, 2018 · Sequim, Wa
• S••••• F•••••••• G•••• I•• former
  Jun 18, 2015 to Dec 7, 2018 · Sequim, Wa
• S•• I••••••••• I••• former
  Feb 17, 2009 to Jun 19, 2015 · Sequim, Wa
• F•• S••••••••• C••••••••• former
  Jul 18, 2008 to Jul 23, 2008 · Sequim, Wa
• A••••• W•••••• • A••••••••• I••• unclassified
  Nov 30, 1998 to May 7, 2009 · Sequim, Wa

• S••••• F•••••••• G•••• I•• to L•• F•••••••• L••
  left Dec 7, 2018, registered Nov 9, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA
• S•• I••••••••• I••• to S••••• F•••••••• G•••• I••
  left Jun 19, 2015, registered Jun 18, 2015 (-1 days) · Other
• A••••• W•••••• • A••••••••• I••• to F•• S••••••••• C•••••••••
  left May 7, 2009, registered Jul 18, 2008 (-293 days) · Other
• F•• S••••••••• C••••••••• to S•• I••••••••• I•••
  left Jul 23, 2008, registered Feb 17, 2009 (209 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

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address