RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Feb 2, 2022 · Portsmouth, Nh
• A•••••• A••••••• S••••••• former
  Oct 25, 2019 to Mar 9, 2020 · Irving, Tx
• 1•• G••••• A••••••• I•• former
  Jul 11, 2011 to Oct 25, 2019 · Dallas, Tx
• E••••• J•••• national BD
  Mar 19, 2010 to Aug 30, 2010 · Snoqualmie, Wa
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 18, 2002 to Apr 7, 2010 · Portland, Or

• A•••••• A••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
  left Mar 9, 2020, registered Feb 2, 2022 (695 days) · Affiliated broker-dealer or bank to another · moved with a team
• 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••
  left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
• E••••• J•••• to 1•• G••••• A••••••• I••
  left Aug 30, 2010, registered Jul 11, 2011 (315 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to E••••• J••••
  left Apr 7, 2010, registered Mar 19, 2010 (-19 days) · Affiliated broker-dealer or bank to another

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

National broker-dealer RIAderived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address