J••• O•••• R•••

• P•••••••• S••••••••• I••• BD affiliated current
  since Jan 20, 2017 · Austin, Tx
• P••• A••••• S••••••••• L•• BD affiliated
  Nov 24, 2014 to Jan 3, 2017 · Austin, Tx
• P•••• S••••••••• L•• no RAUM
  Jun 16, 2011 to Sep 17, 2014 · Houston, Tx
• E•• F•••••••• A••••••• independent RIA
  Jun 5, 2009 to Jun 3, 2011 · Austin, Tx
• C•••••••• F•••••••• G•••• A••••••• former
  Feb 12, 2007 to May 15, 2009 · The Woodlands, Tx
• P•••• S••••••••• L•• no RAUM
  Aug 26, 1999 to Feb 1, 2007 · Houston, Tx

• P••• A••••• S••••••••• L•• to P•••••••• S••••••••• I•••
  left Jan 3, 2017, registered Jan 20, 2017 (17 days) · Other
• P•••• S••••••••• L•• to P••• A••••• S••••••••• L••
  left Sep 17, 2014, registered Nov 24, 2014 (68 days) · Other
• E•• F•••••••• A••••••• to P•••• S••••••••• L••
  left Jun 3, 2011, registered Jun 16, 2011 (13 days) · Other
• C•••••••• F•••••••• G•••• A••••••• to E•• F•••••••• A•••••••
  left May 15, 2009, registered Jun 5, 2009 (21 days) · Other
• P•••• S••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••
  left Feb 1, 2007, registered Feb 12, 2007 (11 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address