RIA Intelligence

• S•••••• W••••• P•••••••• L•• BD affiliated current
  since Nov 28, 2022 · Gulfport, Ms
• A••••••••• L•• former
  Apr 18, 2019 to Nov 22, 2022 · Gulfport, Ms
• H••••••• F•••••••• G•••• unclassified
  Nov 5, 2014 to Apr 18, 2019 · Houston, Tx
• N••• F•••••••• G••••• I••• former
  Jul 1, 2002 to Sep 4, 2014 · Lafayette, La
• W•••••• • R••• former
  Jan 20, 2000 to Jul 9, 2002 · Houston, Tx

• A••••••••• L•• to S•••••• W••••• P•••••••• L••
  left Nov 22, 2022, registered Nov 28, 2022 (6 days) · RIA to affiliated broker-dealer or bank
• H••••••• F•••••••• G•••• to A••••••••• L••
  left Apr 18, 2019, registered Apr 18, 2019 (0 days) · Other
• N••• F•••••••• G••••• I••• to H••••••• F•••••••• G••••
  left Sep 4, 2014, registered Nov 5, 2014 (62 days) · Other
• W•••••• • R••• to N••• F•••••••• G••••• I•••
  left Jul 9, 2002, registered Jul 1, 2002 (-8 days) · Other

• T••••• C••••••••• S•••••• left A••••••••• L•• for S•••••• W••••• P•••••••• L•• (registered 2022-11-28)
  Nov 22, 2022 · 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address