RIA Intelligence

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since May 17, 2019 · San Diego, Ca
• T••• I••••••••• A•••••••• L•• i••••••••• wealth
  Jul 25, 2018 to Jun 27, 2019 · Hayward, Ca
• S••••••••• A•••••• A•••••••• I••• former
  Jul 2, 2013 to Jul 16, 2018 · Hayward, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Jun 10, 2013 · Hayward, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Apr 17, 2009 to Jan 3, 2011 · Hayward, Ca
• W••• I••••••••• I••• unclassified
  Nov 3, 2004 to Apr 21, 2009 · Hayward, Ca

• T••• I••••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Jun 27, 2019, registered May 17, 2019 (-41 days) · RIA to RIA
• S••••••••• A•••••• A•••••••• I••• to T••• I••••••••• A•••••••• L••
  left Jul 16, 2018, registered Jul 25, 2018 (9 days) · Affiliated broker-dealer or bank to independent RIA
• W•••• F•••• A••••••• to S••••••••• A•••••• A•••••••• I•••
  left Jun 10, 2013, registered Jul 2, 2013 (22 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
• W••• I••••••••• I••• to W•••• F•••• I••••••••• L••
  left Apr 21, 2009, registered Apr 17, 2009 (-4 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