RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · Heber City, Ut
• S••••••• I••••••••• I••• former
  Jun 11, 2012 to Nov 2, 2018 · Southfield, Mi
• R••••••••• W••••• M••••••••• former
  Oct 1, 2009 to Apr 23, 2012 · San Antonio, Tx
• K•• • A••••••••• unclassified
  May 15, 2003 to Oct 31, 2006 · San Antonio, Tx
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 9, 2002 to Jul 14, 2009 · San Antonio, Tx

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• R••••••••• W••••• M••••••••• to S••••••• I••••••••• I•••
  left Apr 23, 2012, registered Jun 11, 2012 (49 days) · Other
• M•• I•••••••• S•••••••• L•• to K•• • A•••••••••
  left Jul 14, 2009, registered May 15, 2003 (-2252 days) · Other
• K•• • A••••••••• to R••••••••• W••••• M•••••••••
  left Oct 31, 2006, registered Oct 1, 2009 (1066 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address