RIA Intelligence

• B• R•••• W••••• A•••••••• I••• BD affiliated current
  since Jun 23, 2021 · Boerne, Tx
• B• R•••• W••••• M••••••••• former
  Mar 20, 2013 to Jul 3, 2014 · New York, Ny
• S•••••• M••••• L•• independent RIA
  Jun 28, 2006 to Mar 25, 2011 · New York, Ny
• S•• C•••••• A••••••• L•• institutional
  Jan 2, 2004 to Dec 31, 2006 · New York, Ny
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Oct 20, 2003 · New York, Ny
• P••••••••• E••••• G••••• L•• unclassified
  Jan 31, 2000 to Jul 1, 2003 · New York, Ny

• B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••
  left Jul 3, 2014, registered Jun 23, 2021 (2547 days) · Other
• S•••••• M••••• L•• to B• R•••• W••••• M•••••••••
  left Mar 25, 2011, registered Mar 20, 2013 (726 days) · Other
• S•• C•••••• A••••••• L•• to S•••••• M••••• L••
  left Dec 31, 2006, registered Jun 28, 2006 (-186 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to S•• C•••••• A••••••• L••
  left Oct 20, 2003, registered Jan 2, 2004 (74 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 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

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address