RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Sacramento, Ca
• W•••••• • R••• former
  Sep 21, 2015 to Jul 28, 2021 · San Mateo, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jul 7, 2015 · San Mateo, Ca
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to Oct 1, 2012 · Buffalo Grove, Il
• W••• I••••••••• I••• unclassified
  Jan 25, 2005 to May 2, 2009 · Skokie, Il
• E•••••••• A•••••••• L•• national BD
  Sep 9, 2002 to Jun 9, 2003 · Northbrook, Il

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 28, 2021, registered Jul 21, 2021 (-7 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to W•••••• • R•••
  left Jul 7, 2015, registered Sep 21, 2015 (76 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to W••• I••••••••• I•••
  left Jun 9, 2003, registered Jan 25, 2005 (596 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