RIA Intelligence

• T•• A•••••••• G•••• BD affiliated current
  since Nov 4, 2022 · Englewood, Co
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 20, 2016 to Nov 9, 2022 · Centennial, Co
• N•• A•••••• S•••••••• L•• former
  Dec 1, 2004 to Sep 22, 2016 · Centennial, Co
• P•••••••• S••••••••• I••• BD affiliated
  Nov 16, 2001 to Dec 7, 2004 · Centennial, Co

• K••••• A••••••• S•••••••• L•• to T•• A•••••••• G••••
  left Nov 9, 2022, registered Nov 4, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
• P•••••••• S••••••••• I••• to N•• A•••••• S•••••••• L••
  left Dec 7, 2004, registered Dec 1, 2004 (-6 days) · Other

• C••• A•••• L•••• left K••••• A••••••• S•••••••• L•• for T•• A•••••••• G•••• (registered 2022-11-04)
  Nov 9, 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address