RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since May 13, 2019 · Baton Rouge, La
• M••••• S•••••• wirehouse
  Jun 1, 2009 to May 14, 2019 · Baton Rouge, La
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 25, 2006 to Jun 1, 2009 · Baton Rouge, La
• C•••••• O•• I••••••••• L•• unclassified
  Jan 9, 2003 to Sep 3, 2004 · Denham Springs, La

• M••••• S•••••• to W•••• F•••• A•••••••
  left May 14, 2019, registered May 13, 2019 (-1 days) · Wirehouse to wirehouse
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• C•••••• O•• I••••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Sep 3, 2004, registered Apr 25, 2006 (599 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

Wirehousederived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address