RIA Intelligence

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Jul 6, 2022 · Omaha, Ne
• P•••• S••••••••• L•• no RAUM
  Jun 25, 2020 to Jun 22, 2022 · Omaha, Ne
• F•• W••••• M••••••••• L•• BD affiliated
  May 31, 2019 to Apr 16, 2020 · West Des Moines, Ia
• R•• C•••••• M••••••• L•• national BD
  May 30, 2018 to Mar 6, 2019 · Houston, Tx

• P•••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jun 22, 2022, registered Jul 6, 2022 (14 days) · Affiliated broker-dealer or bank to another
• F•• W••••• M••••••••• L•• to P•••• S••••••••• L••
  left Apr 16, 2020, registered Jun 25, 2020 (70 days) · Other
• R•• C•••••• M••••••• L•• to F•• W••••• M••••••••• L••
  left Mar 6, 2019, registered May 31, 2019 (86 days) · Affiliated broker-dealer or bank to a newly registered adviser

• A•• J• W••••••••• left P•••• S••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-07-06)
  Jun 22, 2022 · Advisor changed firm · 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address