RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 6, 2023 · Scottsdale, Az
• W•••• F•••• A••••••• wirehouse
  May 14, 2015 to Jul 13, 2023 · Scottsdale, Az
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to May 12, 2015 · Phoenix, Az
• C•••• I••••••••• S••••••• C•••• former
  Jul 27, 2005 to Oct 1, 2012 · Phoenix, Az

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Jul 13, 2023, registered Jul 6, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left May 12, 2015, registered May 14, 2015 (2 days) · Wirehouse to wirehouse
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

• H•••• K•••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-07-06)
  Jul 13, 2023 · Advisor changed firm · fact

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