RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Apr 25, 2011 · Shiner, Tx
• T••••••• I••••••••• M••••••••• I••• BD affiliated
  Sep 9, 2010 to Apr 26, 2011 · Irving, Tx
• I••••••••• P••••••••• I••• former
  May 12, 2008 to Sep 8, 2010 · San Antonio, Tx
• T••••••• I••••••••• M••••••••• I••• BD affiliated
  Jan 7, 2004 to May 13, 2008 · Victoria, Tx

• T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••
  left Apr 26, 2011, registered Apr 25, 2011 (-1 days) · Other
• I••••••••• P••••••••• I••• to T••••••• I••••••••• M••••••••• I•••
  left Sep 8, 2010, registered Sep 9, 2010 (1 days) · Other
• T••••••• I••••••••• M••••••••• I••• to I••••••••• P••••••••• I•••
  left May 13, 2008, registered May 12, 2008 (-1 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

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address