RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Nov 13, 2014 · Dallas, Tx
• A•••••• R••••••• C•••••• independent RIA
  Sep 17, 2014 to Oct 28, 2014 · Dallas, Tx
• L•• F•••••••• L•• BD affiliated
  Apr 8, 2014 to Nov 5, 2014 · Dallas, Tx
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Mar 21, 2014 · Ft. Worth, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 12, 2007 to Jun 1, 2009 · Southlake, Tx

• L•• F•••••••• L•• to A•••••• R••••••• C••••••
  left Nov 5, 2014, registered Sep 17, 2014 (-49 days) · Other
• A•••••• R••••••• C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 28, 2014, registered Nov 13, 2014 (16 days) · Other
• M••••• S•••••• to L•• F•••••••• L••
  left Mar 21, 2014, registered Apr 8, 2014 (18 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address