RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · Westwood, Ks
• S••••••• I••••••••• I••• former
  May 13, 2016 to Nov 2, 2018 · South Pasadena, Ca
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Nov 5, 2014 to May 13, 2016 · Westwood, Ks
• B•••••• • I•••••••• C•• unclassified
  Jan 31, 2012 to Nov 3, 2014 · Roeland Park, Ks
• H••••• F•••••••• S•••••••• L•• former
  Mar 16, 2006 to Jan 27, 2012 · Dallas, Tx
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  May 7, 1999 to Dec 7, 2004 · Westwood, Ks

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
  left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
• B•••••• • I•••••••• C•• to T••••••••• F•••••••• A•••••••• L••
  left Nov 3, 2014, registered Nov 5, 2014 (2 days) · Other
• H••••• F•••••••• S•••••••• L•• to B•••••• • I•••••••• C••
  left Jan 27, 2012, registered Jan 31, 2012 (4 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to H••••• F•••••••• S•••••••• L••
  left Dec 7, 2004, registered Mar 16, 2006 (464 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

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address