RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Dec 4, 2015 · Plano, Tx
• E•••••• C•••••• M••••••••• L•• former
  Nov 26, 2014 to Nov 25, 2015 · Dallas, Tx
• F••••• I••••••••• independent RIA
  Jun 9, 2014 to Nov 25, 2014 · Cedar Park, Tx
• C•••••• S••••• • C••• I••• national BD
  Oct 6, 2009 to Jun 2, 2014 · Little Rock, Ar

• E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••
  left Nov 25, 2015, registered Dec 4, 2015 (9 days) · Other
• F••••• I••••••••• to E•••••• C•••••• M••••••••• L••
  left Nov 25, 2014, registered Nov 26, 2014 (1 days) · Other
• C•••••• S••••• • C••• I••• to F••••• I•••••••••
  left Jun 2, 2014, registered Jun 9, 2014 (7 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