RIA Intelligence

• I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated current
  since May 8, 2019 · Orlando, Fl
• L•• F•••••••• L•• BD affiliated
  Nov 21, 2018 to Dec 17, 2018 · Springdale, Ar
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Dec 10, 2013 to Dec 14, 2018 · Fayetteville, Ar
• S••••••• BD affiliated
  Dec 2, 2005 to Dec 6, 2013 · Fayetteville, Ar
• M••••• S•••••• D• I••• unclassified
  Mar 28, 2002 to Dec 9, 2005 · Rogers, Ar

• L•• F•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••
  left Dec 17, 2018, registered May 8, 2019 (142 days) · RIA to affiliated broker-dealer or bank
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
  left Dec 14, 2018, registered Nov 21, 2018 (-23 days) · Affiliated broker-dealer or bank to independent RIA
• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Dec 6, 2013, registered Dec 10, 2013 (4 days) · Other
• M••••• S•••••• D• I••• to S•••••••
  left Dec 9, 2005, registered Dec 2, 2005 (-7 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

Broker-dealer affiliated wealth managerderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address