RIA Intelligence

• G••••• P••••••• S••••••• L•• state registered current
  since Aug 1, 2017 · Baton Rouge, La
• S••••• A••••••• I••• BD affiliated
  Jun 30, 2016 to Jul 31, 2017 · Birmingham, Al
• S••••• A••• A•••• M••••••••• I••• former
  Mar 26, 2009 to Jun 30, 2016 · Birmingham, Al
• C••••• A••••••• L•• former
  Mar 10, 2009 to Mar 17, 2009 · Baton Rouge, La
• S••••••• G•••• C•••••• unclassified
  Jan 7, 2000 to Mar 11, 2009 · Baton Rouge, La

• S••••• A••••••• I••• to G••••• P••••••• S••••••• L••
  left Jul 31, 2017, registered Aug 1, 2017 (1 days) · Other
• S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••
  left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
• C••••• A••••••• L•• to S••••• A••• A•••• M••••••••• I•••
  left Mar 17, 2009, registered Mar 26, 2009 (9 days) · Other
• S••••••• G•••• C•••••• to C••••• A••••••• L••
  left Mar 11, 2009, registered Mar 10, 2009 (-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

STATE REGISTEREDderived

Years in industry

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address