RIA Intelligence

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Jul 23, 2021 · Lubbock, Tx
• C••••• A•••••• N••••••• L•• former
  May 8, 2018 to Jul 29, 2021 · Lubbock, Tx
• C••• L•• BD affiliated
  Oct 7, 2014 to Aug 12, 2021 · Southlake, Tx
• L•• F•••••••• L•• BD affiliated
  Jul 30, 2002 to Dec 19, 2014 · Snyder, Tx
• P••••••••• E••••• G••••• L•• unclassified
  Dec 1, 2000 to Jul 26, 2002 · Fort Worth, Tx

• C••• L•• to C••••• A•••••• N••••••• L••
  left Aug 12, 2021, registered May 8, 2018 (-1192 days) · Affiliated broker-dealer or bank to another
• C••••• A•••••• N••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jul 29, 2021, registered Jul 23, 2021 (-6 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to C••• L••
  left Dec 19, 2014, registered Oct 7, 2014 (-73 days) · Other
• P••••••••• E••••• G••••• L•• to L•• F•••••••• L••
  left Jul 26, 2002, registered Jul 30, 2002 (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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address