RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 31, 2025 · Gig Harbor, Wa
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jan 29, 2016 to Aug 14, 2025 · Tacoma, Wa
• U•• F•••••••• S••••••• I••• wirehouse
  Dec 5, 2008 to Feb 9, 2016 · Tacoma, Wa
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Dec 8, 2008 · Tacoma, Wa
• M••••• S•••••• D• I••• unclassified
  May 30, 1997 to Apr 2, 2007 · Tacoma, Wa

• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Aug 14, 2025, registered Jul 31, 2025 (-14 days) · Affiliated broker-dealer or bank to another
• U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 9, 2016, registered Jan 29, 2016 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
  left Dec 8, 2008, registered Dec 5, 2008 (-3 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

• R•••••• J•••• D••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-07-31)
  Aug 14, 2025 · 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address