RIA Intelligence

• O•••• P•••••••• S••••••••• L•• BD affiliated current
  since Jan 24, 2023 · Omaha, Ne
• O•••• P•••••••• S••••••••• L•• former
  Jan 10, 2020 to Jan 6, 2023 · Devon, Pa
• O•••• P•••••••• S••••••••• L•• former
  Feb 6, 2019 to Dec 31, 2019 · Scottsdale, Az
• O•••• P•••••••• S••••••••• L•• BD affiliated
  Jan 8, 2015 to Dec 31, 2018 · El Dorado Hills, Ca
• O•••• P•••••••• S••••••••• L•• BD affiliated
  Mar 17, 2000 to Dec 31, 2014 · El Dorado Hills, Ca

• O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••
  left Jan 6, 2023, registered Jan 24, 2023 (18 days) · corporate re-registration, not a move
• O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••
  left Dec 31, 2018, registered Feb 6, 2019 (37 days) · channel change inside one enterprise, 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

Broker-dealer affiliated wealth managerderived

Years in industry

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address