RIA Intelligence

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Dec 8, 2022 · Elk Grove, Ca
• C••••••• • C••• I••• former
  Nov 14, 2003 to Jun 1, 2023 · Elk Grove, Ca
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Aug 15, 2003 · Stockton, Ca
• P••••••••• E••••• G••••• L•• unclassified
  Oct 12, 2000 to Jul 1, 2003 · Stockton, Ca

• C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jun 1, 2023, registered Dec 8, 2022 (-175 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to C••••••• • C••• I•••
  left Aug 15, 2003, registered Nov 14, 2003 (91 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address