RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 28, 2020 · Tigard, Or
• W•••• F•••• A••••••• wirehouse
  Apr 17, 2015 to Sep 29, 2020 · Tigard, Or
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Apr 27, 2015 · Lake Oswego, Or
• M••••• S•••••• • C•• L•• unclassified
  Oct 3, 2008 to Jun 1, 2009 · Lake Oswego, Or
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  May 24, 2002 to Oct 10, 2008 · Lake Oswego, Or

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Sep 29, 2020, registered Sep 28, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M••••• S•••••• to W•••• F•••• A•••••••
  left Apr 27, 2015, registered Apr 17, 2015 (-10 days) · Wirehouse to wirehouse · moved with a team
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
  left Oct 10, 2008, registered Oct 3, 2008 (-7 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address