RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Sep 20, 2017 · Frisco, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Mar 26, 2010 to Aug 11, 2017 · Dallas, Tx
• H•••••• S••••••••• I••• BD affiliated
  Mar 11, 2005 to Apr 22, 2010 · Dallas, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 9, 2001 to Mar 24, 2005 · Addison, Tx

• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Aug 11, 2017, registered Sep 20, 2017 (40 days) · Wirehouse to wirehouse · moved with a team
• H•••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left Apr 22, 2010, registered Mar 26, 2010 (-27 days) · Other
• U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••
  left Mar 24, 2005, registered Mar 11, 2005 (-13 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

Wirehousederived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address