RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Apr 15, 2020 · Folsom, Ca
• I•••• L••• F•••••••• A••••••• former
  May 24, 2012 to Jul 16, 2020 · Folsom, Ca
• L•• F•••••••• L•• BD affiliated
  Apr 24, 2012 to Mar 27, 2013 · Folsom, Ca
• O••• W••••• A•••••••• I••• former
  Feb 16, 2011 to Dec 31, 2012 · Folsom, Ca
• Q•• F•••••••• L•• unclassified
  Dec 1, 2009 to Feb 11, 2011 · Folsom, Ca
• 1•• G••••• A••••••• I•• former
  Jan 31, 2006 to Nov 16, 2009 · Folsom, Ca

• I•••• L••• F•••••••• A••••••• to L•• F•••••••• L••
  left Jul 16, 2020, registered Apr 15, 2020 (-92 days) · Other · moved with a team
• L•• F•••••••• L•• to I•••• L••• F•••••••• A•••••••
  left Mar 27, 2013, registered May 24, 2012 (-307 days) · Other
• O••• W••••• A•••••••• I••• to L•• F•••••••• L••
  left Dec 31, 2012, registered Apr 24, 2012 (-251 days) · Other
• Q•• F•••••••• L•• to O••• W••••• A•••••••• I•••
  left Feb 11, 2011, registered Feb 16, 2011 (5 days) · Other
• 1•• G••••• A••••••• I•• to Q•• F•••••••• L••
  left Nov 16, 2009, registered Dec 1, 2009 (15 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