RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Sep 23, 2020 · Plano, Tx
• A•••••• A••••••• S••••••• former
  Oct 25, 2019 to Aug 25, 2020 · Irving, Tx
• 1•• G••••• A••••••• I•• former
  Jan 25, 2013 to Oct 25, 2019 · Dallas, Tx
• G•••••••• F••••••••• I•• unclassified
  Jan 5, 2005 to Apr 10, 2008 · Tampa, Fl
• I••••• F•••••••• C••••••••• former
  Aug 24, 2004 to Sep 15, 2004 · Tampa, Fl
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Jul 9, 2004 to Aug 3, 2004 · St. Petersburg, Fl

• A•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••
  left Aug 25, 2020, registered Sep 23, 2020 (29 days) · Affiliated broker-dealer or bank to wirehouse
• 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••
  left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
• G•••••••• F••••••••• I•• to 1•• G••••• A••••••• I••
  left Apr 10, 2008, registered Jan 25, 2013 (1751 days) · Other
• I••••• F•••••••• C••••••••• to G•••••••• F••••••••• I••
  left Sep 15, 2004, registered Jan 5, 2005 (112 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••
  left Aug 3, 2004, registered Aug 24, 2004 (21 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

Wirehousederived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address