RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 30, 2023 · Jarrell, Tx
• S•• BD affiliated
  Aug 25, 2014 to May 30, 2023 · Georgetown, Tx
• A•••••• R••••••• C•••••• independent RIA
  Nov 12, 2013 to Aug 29, 2014 · Georgetown, Tx
• S•••••• F•••••••• S••••••••• unclassified
  Apr 20, 2006 to Dec 31, 2012 · Georgetown, Tx
• B•••••• G•••• W••••• M••••••••• unclassified
  Jun 25, 2002 to Dec 31, 2002 · Austin, Tx
• L•• F•••••••• L•• BD affiliated
  Dec 19, 2000 to Sep 10, 2014 · Georgetown, Tx

• S•• to L•• F•••••••• L••
  left May 30, 2023, registered May 30, 2023 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to B•••••• G•••• W••••• M•••••••••
  left Sep 10, 2014, registered Jun 25, 2002 (-4460 days) · Other
• A•••••• R••••••• C•••••• to S••
  left Aug 29, 2014, registered Aug 25, 2014 (-4 days) · Other
• S•••••• F•••••••• S••••••••• to A•••••• R••••••• C••••••
  left Dec 31, 2012, registered Nov 12, 2013 (316 days) · Other
• B•••••• G•••• W••••• M••••••••• to S•••••• F•••••••• S•••••••••
  left Dec 31, 2002, registered Apr 20, 2006 (1206 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