RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Jan 15, 2020 · Austin, Tx
• S•••••••• I••••••••• M••••••••• former
  Nov 17, 2016 to Mar 9, 2018 · Saint Louis, Mo
• C•••••• C••••• A•••• M••••••••• I•• unclassified
  Jan 20, 2010 to Nov 7, 2012 · Austin, Tx
• S•••••••• A••••••• L•• national BD
  May 28, 2004 to Nov 23, 2007 · Tysons Corner, Va
• C•••• C•••• F•••••••• S••••••• unclassified
  May 1, 2002 to Jun 8, 2002 · Bethesda, Md

• S•••••••• I••••••••• M••••••••• to K••••• A••••••• S•••••••• L••
  left Mar 9, 2018, registered Jan 15, 2020 (677 days) · Affiliated broker-dealer or bank to another
• C•••••• C••••• A•••• M••••••••• I•• to S•••••••• I••••••••• M•••••••••
  left Nov 7, 2012, registered Nov 17, 2016 (1471 days) · Other
• S•••••••• A••••••• L•• to C•••••• C••••• A•••• M••••••••• I••
  left Nov 23, 2007, registered Jan 20, 2010 (789 days) · Other
• C•••• C•••• F•••••••• S••••••• to S•••••••• A••••••• L••
  left Jun 8, 2002, registered May 28, 2004 (720 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