R•••• P•••••• B•••

• S••••• W••••• A•••••••• I••• no RAUM current
  since Aug 12, 2015 · Indianapolis, In
• A••••• A•• P••••••• S••••••• BD affiliated
  Jan 18, 2013 to Jun 30, 2015 · Houston, Tx
• C•••••• S••••• • C••• I••• national BD
  Jul 26, 2011 to Feb 1, 2013 · Webster, Tx
• C•••• I••••••••• S••••••• C•••• former
  Jan 30, 2004 to May 21, 2004 · Dallas, Tx
• E•••••• A••••••• S•••••••• I••• unclassified
  Apr 17, 2003 to Jun 11, 2003 · Pasadena, Tx

• A••••• A•• P••••••• S••••••• to S••••• W••••• A•••••••• I•••
  left Jun 30, 2015, registered Aug 12, 2015 (43 days) · Other
• C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••
  left Feb 1, 2013, registered Jan 18, 2013 (-14 days) · Other
• C•••• I••••••••• S••••••• C•••• to C•••••• S••••• • C••• I•••
  left May 21, 2004, registered Jul 26, 2011 (2622 days) · Other
• E•••••• A••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Jun 11, 2003, registered Jan 30, 2004 (233 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

No RAUM reportedderived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address