RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Aug 4, 2017 · Lake Charles, La
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Aug 4, 2017 · Lake Charles, La
• P••••••••• E••••• G••••• L•• unclassified
  May 28, 1999 to Jul 1, 2003 · Lake Charles, La

• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Aug 4, 2017, registered Aug 4, 2017 (0 days) · channel change inside one enterprise, not a move · moved with a team
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

Wirehousederived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address