RIA Intelligence

• R•••••• J•••• • A••••••••• I••• national BD current
  since Sep 29, 2016 · Kirkland, Wa
• W•••••• S••••••••• I••• BD affiliated
  Mar 3, 2015 to Sep 28, 2016 · Portland, Or
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 23, 2012 to Mar 3, 2015 · Gig Harbor, Wa
• R•• C•••••• M••••••• L•• national BD
  May 6, 2008 to Nov 10, 2011 · Seattle, Wa
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Mar 31, 2008 · Seattle, Wa
• M••••• S•••••• D• I••• unclassified
  Nov 22, 2000 to Apr 2, 2007 · Seattle, Wa

• W•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Sep 28, 2016, registered Sep 29, 2016 (1 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••
  left Mar 3, 2015, registered Mar 3, 2015 (0 days) · Other
• R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Nov 10, 2011, registered Jul 23, 2012 (256 days) · Affiliated broker-dealer or bank to wirehouse
• M••••• S•••••• • C•• L•• to R•• C•••••• M••••••• L••
  left Mar 31, 2008, registered May 6, 2008 (36 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

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