RIA Intelligence

• T••••••• I••••••••• M••••••••• I••• BD affiliated current
  since Jun 6, 2019 · Golden Valley, Mn
• S••••••••• A•••• M••••••••• L•• former
  Oct 10, 2017 to May 31, 2019 · Scottsdale, Az
• I••••••••• F•••••••• G••••• L•• BD affiliated
  Apr 6, 2017 to Jun 21, 2017 · Englewood, Co
• W•••••• • R••• former
  Apr 21, 2008 to May 31, 2016 · Denver, Co
• E•••••••• A•••••••• L•• national BD
  Mar 28, 2008 to Apr 21, 2008 · Scottsdale, Az
• A••••••••• F•••••••• S•••••••• L•• national BD
  Apr 22, 1999 to Mar 19, 2008 · Phoenix, Az

• S••••••••• A•••• M••••••••• L•• to T••••••• I••••••••• M••••••••• I•••
  left May 31, 2019, registered Jun 6, 2019 (6 days) · RIA to affiliated broker-dealer or bank
• I••••••••• F•••••••• G••••• L•• to S••••••••• A•••• M••••••••• L••
  left Jun 21, 2017, registered Oct 10, 2017 (111 days) · Other
• W•••••• • R••• to I••••••••• F•••••••• G••••• L••
  left May 31, 2016, registered Apr 6, 2017 (310 days) · Other
• E•••••••• A•••••••• L•• to W•••••• • R•••
  left Apr 21, 2008, registered Apr 21, 2008 (0 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••
  left Mar 19, 2008, registered Mar 28, 2008 (9 days) · Affiliated broker-dealer or bank to another

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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address