RIA Intelligence

• B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated current
  since Sep 18, 2020 · Lincoln, Ne
• R•• C•••••• M••••••• L•• national BD
  Apr 17, 2009 to Sep 29, 2020 · Lincoln, Ne
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Apr 20, 2009 · Lincoln, Ne
• A• G• E•••••• • S•••• I••• unclassified
  Oct 7, 2005 to Jan 1, 2008 · Lincoln, Ne
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 13, 1994 to Oct 3, 2005 · Lincoln, Ne

• R•• C•••••• M••••••• L•• to B••••••• F• E•••••• • C••••••• I•••••••••
  left Sep 29, 2020, registered Sep 18, 2020 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
  left Apr 20, 2009, registered Apr 17, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• G• E•••••• • S•••• I•••
  left Oct 3, 2005, registered Oct 7, 2005 (4 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

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address