RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Mar 5, 2021 · W•••Lake Village, Ca
• A••••••••• L••• other
  Jun 26, 2009 to Apr 30, 2012 · Los Angeles, Ca
• E•••••••• A••••••• I•• unclassified
  Apr 17, 2006 to Jun 25, 2008 · Roseville, Ca
• F•••••••• W••• G•••• former
  Feb 1, 2006 to Apr 18, 2006 · Santa Monica, Ca
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 25, 2003 to Jan 27, 2005 · Los Angeles, Ca
• M••••• S•••••• D• I••• unclassified
  Jul 19, 2001 to Feb 27, 2003 · San Mateo, Ca

• A••••••••• L••• to U•• F•••••••• S••••••• I•••
  left Apr 30, 2012, registered Mar 5, 2021 (3231 days) · Other
• E•••••••• A••••••• I•• to A••••••••• L•••
  left Jun 25, 2008, registered Jun 26, 2009 (366 days) · Other
• F•••••••• W••• G•••• to E•••••••• A••••••• I••
  left Apr 18, 2006, registered Apr 17, 2006 (-1 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to F•••••••• W••• G••••
  left Jan 27, 2005, registered Feb 1, 2006 (370 days) · Other
• M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Feb 27, 2003, registered Feb 25, 2003 (-2 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

Wirehousederived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address