RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 14, 2020 · Hurst, Tx
• S••••••••• A•••••• A•••••••• I••• former
  Jul 17, 2020 to Dec 10, 2020 · Hurst, Tx
• I••••••••• A••••••• S••••••• I•• former
  Dec 14, 2009 to Jul 17, 2020 · Fort Worth, Tx
• E•••••••• A•••••••• L•• national BD
  Jun 18, 2009 to Dec 23, 2009 · Fort Worth, Tx
• P••••••••• E••••• G••••• L•• unclassified
  Oct 11, 1999 to Jun 14, 2002 · New York, Ny

• S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
  left Dec 10, 2020, registered Dec 14, 2020 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
• I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••
  left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to I••••••••• A••••••• S••••••• I••
  left Dec 23, 2009, registered Dec 14, 2009 (-9 days) · Other
• P••••••••• E••••• G••••• L•• to E•••••••• A•••••••• L••
  left Jun 14, 2002, registered Jun 18, 2009 (2561 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address