RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jun 26, 2018 · Bossier City, La
• I••••••••• P••••••••• I••• former
  May 16, 2011 to Sep 25, 2018 · San Antonio, Tx
• 1•• G••••• A••••••• I•• former
  Aug 3, 2009 to May 24, 2011 · Shreveport, La
• W••••• A•••••••• I••• unclassified
  May 21, 2007 to Jul 31, 2009 · Shreveport, La
• I••• F••••••••• L•• unclassified
  Sep 22, 2006 to Apr 10, 2007 · Shreveport, La

• I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 25, 2018, registered Jun 26, 2018 (-91 days) · corporate re-registration, not a move
• 1•• G••••• A••••••• I•• to I••••••••• P••••••••• I•••
  left May 24, 2011, registered May 16, 2011 (-8 days) · Other
• W••••• A•••••••• I••• to 1•• G••••• A••••••• I••
  left Jul 31, 2009, registered Aug 3, 2009 (3 days) · Other
• I••• F••••••••• L•• to W••••• A•••••••• I•••
  left Apr 10, 2007, registered May 21, 2007 (41 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

National broker-dealer RIAderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address