RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 20, 2021 · Stockbridge, Ga
• A•••••• A••••••• S••••••• former
  Oct 25, 2019 to Mar 10, 2021 · Irving, Tx
• 1•• G••••• A••••••• I•• former
  Jul 26, 2010 to Oct 25, 2019 · Dallas, Tx
• A••••••••• F•••••••• S•••••••• L•• national BD
  Dec 10, 2004 to Apr 20, 2009 · Houston, Tx
• E•••••• A••••••• S•••••••• I••• unclassified
  Nov 21, 2001 to Jun 23, 2003 · Missouri City , Tx

• A•••••• A••••••• S••••••• to L•• F•••••••• L••
  left Mar 10, 2021, registered Dec 20, 2021 (285 days) · Affiliated broker-dealer or bank to another · moved with a team
• 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••
  left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to 1•• G••••• A••••••• I••
  left Apr 20, 2009, registered Jul 26, 2010 (462 days) · Other
• E•••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Jun 23, 2003, registered Dec 10, 2004 (536 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address