RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Brea, Ca
• S•••••••• F••••••••• I••• former
  Nov 4, 2020 to Sep 1, 2023 · Fresno, Ca
• L•• F•••••••• L•• BD affiliated
  Oct 23, 2012 to Nov 11, 2020 · Fresno, Ca
• S•• BD affiliated
  Aug 6, 2002 to Oct 22, 2012 · Fresno, Ca

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to S•••••••• F••••••••• I•••
  left Nov 11, 2020, registered Nov 4, 2020 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
• S•• to L•• F•••••••• L••
  left Oct 22, 2012, registered Oct 23, 2012 (1 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address