RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 21, 2022 · Murray, Ut
• C••••• A•••••• N••••••• L•• former
  Nov 12, 2008 to Sep 28, 2022 · Murray, Ut
• I••••••• S••••••••• I••• unclassified
  Oct 3, 2007 to Sep 9, 2008 · Midvale, Ut
• A•••••• A•••••••• I••• unclassified
  Jul 31, 2006 to Oct 3, 2007 · Salt Lake City, Ut

• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left Sep 28, 2022, registered Sep 21, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• I••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••
  left Sep 9, 2008, registered Nov 12, 2008 (64 days) · Other
• A•••••• A•••••••• I••• to I••••••• S••••••••• I•••
  left Oct 3, 2007, registered Oct 3, 2007 (0 days) · Other

• W•••••• C•••• J••••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2022-09-21)
  Sep 28, 2022 · a•••••• firm change · fact

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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address