RIA Intelligence

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Aug 15, 2018 · Overland Park, Ks
• S•••• M•••• • C•• BD affiliated
  Nov 15, 2011 to Sep 13, 2018 · Overland Park, Ks
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 13, 2003 to Nov 16, 2011 · Leawood, Ks
• L•• F•••••••• L•• BD affiliated
  Sep 11, 2002 to Jun 19, 2003 · Overland Park, Ks
• A• G• E•••••• • S•••• I••• unclassified
  Jul 13, 2001 to Oct 9, 2002 · Overland Park, Ks

• S•••• M•••• • C•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Sep 13, 2018, registered Aug 15, 2018 (-29 days) · RIA to affiliated broker-dealer or bank · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• M•••• • C••
  left Nov 16, 2011, registered Nov 15, 2011 (-1 days) · Other
• L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jun 19, 2003, registered Jun 13, 2003 (-6 days) · Other
• A• G• E•••••• • S•••• I••• to L•• F•••••••• L••
  left Oct 9, 2002, registered Sep 11, 2002 (-28 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address