RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Kingsland, Tx
• O•••• F•• I••• former
  Sep 30, 2016 to Jan 24, 2025 · Amarillo, Tx
• M•• F•••••••• S•••••••• I••• former
  Jan 2, 2015 to Oct 4, 2016 · Amarillo, Tx
• N•• E•••••• S••••••••• C••••••••• former
  Jan 17, 2006 to Jan 2, 2015 · Amarillo, Tx

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• M•• F•••••••• S•••••••• I••• to O•••• F•• I•••
  left Oct 4, 2016, registered Sep 30, 2016 (-4 days) · Other
• N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
  left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move

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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address