RIA Intelligence

• M•••••• BD affiliated current
  since Feb 28, 2023 · Fullerton, Ca
• W• W••••• • A••••••••• I••• former
  Nov 19, 2019 to Apr 4, 2023 · Fullerton, Ca
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Nov 4, 2019 to Apr 23, 2020 · Fullerton, Ca

• W• W••••• • A••••••••• I••• to M••••••
  left Apr 4, 2023, registered Feb 28, 2023 (-35 days) · RIA to affiliated broker-dealer or bank
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W• W••••• • A••••••••• I•••
  left Apr 23, 2020, registered Nov 19, 2019 (-156 days) · Affiliated broker-dealer or bank to a newly registered adviser

• D••• M•••• B••••• left W• W••••• • A••••••••• I••• for Mariner (registered 2023-02-28)
  Apr 4, 2023 · Advisor changed firm · fact

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