RIA Intelligence

• H•••••••• A•••••••• L•• BD affiliated current
  since Jan 2, 2025 · Beverly Hills, Ca
• L••••••••• former
  Jun 13, 2006 to Aug 8, 2019 · Beverly Hills, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Sep 26, 2003 to Jun 13, 2006 · Beverly Hills, Ca
• O••••••••• • C•• I••• BD affiliated
  Jan 3, 2003 to Oct 2, 2003 · Los Angeles, Ca
• C••• W•••• M•••••• C•••• unclassified
  Jul 8, 1997 to Jan 3, 2003 · Los Angeles, Ca

• L••••••••• to H•••••••• A•••••••• L••
  left Aug 8, 2019, registered Jan 2, 2025 (1974 days) · RIA to affiliated broker-dealer or bank · moved with a team
• A• G• E•••••• • S•••• I••• to L•••••••••
  left Jun 13, 2006, registered Jun 13, 2006 (0 days) · Other
• O••••••••• • C•• I••• to A• G• E•••••• • S•••• I•••
  left Oct 2, 2003, registered Sep 26, 2003 (-6 days) · Other
• C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
  left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move

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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address