RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 3, 2023 · Kalamazoo, Mi
• F•• S••••••••• C••••••••• former
  Jul 28, 2010 to Nov 3, 2023 · Atlanta, Ga
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 25, 2007 to Apr 6, 2009 · Lubbock, Tx
• N•• A•••••• S•••••••• L•• former
  Jul 18, 2005 to Jun 3, 2006 · Dallas, Tx
• M•• I•••••••• S•••••••• L•• BD affiliated
  Feb 9, 1994 to Dec 19, 2003 · Lubbock, Tx

• F•• S••••••••• C••••••••• to O•••• W•••••• I•••
  left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••
  left Apr 6, 2009, registered Jul 28, 2010 (478 days) · Other
• N•• A•••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
  left Jun 3, 2006, registered Sep 25, 2007 (479 days) · Other
• M•• I•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••
  left Dec 19, 2003, registered Jul 18, 2005 (577 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address