RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 21, 2024 · Chesapeake, Va
• I•••••••• C•••••• A••••••• former
  Jun 4, 2007 to Oct 3, 2016 · Tustin, Ca
• N••• F•••••••• G••••• I••• former
  Mar 20, 2007 to Jun 4, 2007 · Houston, Tx
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 19, 2001 to Mar 22, 2007 · Tulsa, Ok

• I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••
  left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to I•••••••• C•••••• A•••••••
  left Jun 4, 2007, registered Jun 4, 2007 (0 days) · Other
• M•• I•••••••• S•••••••• L•• to N••• F•••••••• G••••• I•••
  left Mar 22, 2007, registered Mar 20, 2007 (-2 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address