RIA Intelligence

• LPL Financial LLC BD affiliated current
  since Jun 1, 2023 · Kailua-Kona, Hi
• Wealthcare Advisory Partners LLC BD affiliated
  May 13, 2019 to Jun 15, 2023 · West Chester, Pa
• Independent Financial Partners BD affiliated
  May 11, 2017 to May 2, 2019 · Fremont, Ca
• Pfg Advisors independent RIA
  Jul 15, 2016 to Jul 24, 2017 · Freemont, Ca
• Independent Financial Partners BD affiliated
  Nov 30, 2015 to Sep 8, 2016 · Fremont, Ca
• Wells Fargo Advisors wirehouse
  Sep 21, 2015 to Dec 2, 2015 · Walnut Creek, Ca
• LPL Financial LLC BD affiliated
  Aug 6, 2010 to Oct 5, 2015 · Fremont, Ca
• Chase Investment Services Corp. former
  May 2, 2009 to Aug 9, 2010 · Mountain View, Ca
• Wamu Investments, Inc. unclassified
  Sep 25, 2008 to May 2, 2009 · Mountain View, Ca
• UBS International Inc. unclassified
  Aug 16, 2007 to Sep 29, 2008 · San Francisco, Ca
• Banc Of America Investment Services, Inc. unclassified
  Nov 5, 2003 to Aug 17, 2007 · Fremont, Ca
• Wells Fargo Investments, LLC unclassified
  Jul 1, 2003 to Oct 29, 2003 · Fremont, Ca
• Banc Of America Investment Services, Inc. unclassified
  May 12, 1998 to Jun 19, 2003 · San Jose, Ca

• Wealthcare Advisory Partners LLC to LPL Financial LLC
  left Jun 15, 2023, registered Jun 1, 2023 (-14 days) · RIA to affiliated broker-dealer or bank
• Independent Financial Partners to Wealthcare Advisory Partners LLC
  left May 2, 2019, registered May 13, 2019 (11 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• Pfg Advisors to Independent Financial Partners
  left Jul 24, 2017, registered May 11, 2017 (-74 days) · Other
• Independent Financial Partners to Pfg Advisors
  left Sep 8, 2016, registered Jul 15, 2016 (-55 days) · Other
• Wells Fargo Advisors to Independent Financial Partners
  left Dec 2, 2015, registered Nov 30, 2015 (-2 days) · Other
• LPL Financial LLC to Wells Fargo Advisors
  left Oct 5, 2015, registered Sep 21, 2015 (-14 days) · Other
• Chase Investment Services Corp. to LPL Financial LLC
  left Aug 9, 2010, registered Aug 6, 2010 (-3 days) · Other
• Wamu Investments, Inc. to Chase Investment Services Corp.
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• UBS International Inc. to Wamu Investments, Inc.
  left Sep 29, 2008, registered Sep 25, 2008 (-4 days) · Other
• Banc Of America Investment Services, Inc. to UBS International Inc.
  left Aug 17, 2007, registered Aug 16, 2007 (-1 days) · Other
• Wells Fargo Investments, LLC to Banc Of America Investment Services, Inc.
  left Oct 29, 2003, registered Nov 5, 2003 (7 days) · Other
• Banc Of America Investment Services, Inc. to Wells Fargo Investments, LLC
  left Jun 19, 2003, registered Jul 1, 2003 (12 days) · Other

• Ferdinand Perez Pernia left Wealthcare Advisory Partners Llc for Lpl Financial Llc (registered 2023-06-01)
  Jun 15, 2023 · Advisor changed firm · fact

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

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address