RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 9, 2022 · College Station, Tx
• S••••••••• A•••••• A•••••••• I••• former
  Nov 27, 2017 to Oct 20, 2022 · Simi Valley, Ca
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Mar 5, 1999 to Nov 7, 2017 · Westlake Village, Ca

• S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
  left Oct 20, 2022, registered May 9, 2022 (-164 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••
  left Nov 7, 2017, registered Nov 27, 2017 (20 days) · Other · moved with a team

• B•••• J•••••• M•••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-05-09)
  Oct 20, 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address