RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · Las Cruces, Nm
• S••••••• I••••••••• I••• former
  May 13, 2016 to Nov 2, 2018 · Panama City Beach, Fl
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Jan 25, 2007 to May 13, 2016 · Reno, Nv
• W•••••• • R••• former
  Nov 3, 2005 to Jan 22, 2007 · Reno, Nv
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Mar 6, 2003 to Oct 7, 2005 · Reno, Nv
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 4, 2001 to Feb 24, 2003 · Reno, Nv

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
  left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
• W•••••• • R••• to T••••••••• F•••••••• A•••••••• L••
  left Jan 22, 2007, registered Jan 25, 2007 (3 days) · Other
• U•••• F•••••••• S••••••• G••••• I••• to W•••••• • R•••
  left Oct 7, 2005, registered Nov 3, 2005 (27 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
  left Feb 24, 2003, registered Mar 6, 2003 (10 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