R••••• D•••• B••••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Conway, Ar
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jan 8, 2020 to Mar 31, 2025 · Germantown, Tn
• S••••• W••••• A•••••••• I••• no RAUM
  Jan 3, 2012 to Sep 19, 2012 · Indianapolis, In
• C•••••• S••••• • C••• I••• national BD
  Aug 18, 1999 to Dec 2, 2019 · Little Rock, Ar

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Dec 2, 2019, registered Jan 3, 2012 (-2890 days) · channel change inside one enterprise, not a move
• S••••• W••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Sep 19, 2012, registered Jan 8, 2020 (2667 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

National broker-dealer RIAderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address