RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Mar 25, 2020 · Lafayette, La
• A•••• C•••••• C•••• BD affiliated
  Mar 5, 2020 to Mar 25, 2020 · Lafayette, La
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 2, 2009 to Mar 24, 2020 · Lafayette, La
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Jan 5, 2006 to Jan 2, 2009 · Lafayette, La

• A•••• C•••••• C•••• to A••••••••• F•••••••• S•••••••• L••
  left Mar 25, 2020, registered Mar 25, 2020 (0 days) · Affiliated broker-dealer or bank to another
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A•••• C•••••• C••••
  left Mar 24, 2020, registered Mar 5, 2020 (-19 days) · Affiliated broker-dealer or bank to another
• R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 2, 2009, registered Jan 2, 2009 (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

National broker-dealer RIAderived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address