R•••••• M••••• R•••••

• P•••• P•••••• F•••••••• S•••••••• L•• state registered current
  since Mar 12, 2013 · Norman, Ok
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Mar 8, 2013 · San Luis Obispo, Ca
• P••••••••• E••••• G••••• L•• unclassified
  Aug 31, 2000 to Jul 1, 2003 · Fresno, Ca

• W•••• F•••• A••••••• to P•••• P•••••• F•••••••• S•••••••• L••
  left Mar 8, 2013, registered Mar 12, 2013 (4 days) · Wirehouse to a state-registered adviser
• 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

STATE REGISTEREDderived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address