RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Springfield, Mo
• G••••• S••••••••• I••• former
  Sep 16, 2011 to Nov 1, 2017 · San Diego, Ca
• W•••• F•••• A••••••• wirehouse
  Apr 9, 2009 to Aug 27, 2010 · Springfield, Mo
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Apr 13, 2009 · Springfield, Mo
• M••••• S•••••• D• I••• unclassified
  Oct 2, 2001 to Apr 2, 2007 · Springfield, Mo

• G••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
  left Nov 1, 2017, registered Jun 29, 2023 (2066 days) · Other · moved with a team
• W•••• F•••• A••••••• to G••••• S••••••••• I•••
  left Aug 27, 2010, registered Sep 16, 2011 (385 days) · Other
• M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••
  left Apr 13, 2009, registered Apr 9, 2009 (-4 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address