RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Cedar Park, Tx
• S•••••••• F••••••••• I••• former
  May 29, 2009 to Sep 1, 2023 · Austin, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 16, 2005 to May 28, 2009 · Austin, Tx
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Mar 30, 2001 to May 26, 2005 · Austin, Tx

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to S•••••••• F••••••••• I•••
  left May 28, 2009, registered May 29, 2009 (1 days) · Other
• L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left May 26, 2005, registered May 16, 2005 (-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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address