RIA Intelligence

• V•••••• A•••••••• I••• BD affiliated current
  since Mar 6, 2017 · Bakersfield, Ca
• I••••••••• F•••••••• G••••• L•• BD affiliated
  Oct 19, 2011 to Mar 5, 2017 · Bakerfield, Ca
• S••••• I••••••••• A•••••••• L•• unclassified
  Jun 5, 2009 to Mar 30, 2011 · Bakersfield, Ca
• V•••••• A•••••••• I••• BD affiliated
  Sep 27, 2004 to Oct 20, 2011 · Bakersfield , Ca
• S••••• I••••••••• A•••••••• L•• unclassified
  Sep 24, 2002 to Dec 31, 2008 · Bakersfield, Ca

• I••••••••• F•••••••• G••••• L•• to V•••••• A•••••••• I•••
  left Mar 5, 2017, registered Mar 6, 2017 (1 days) · Other · moved with a team
• V•••••• A•••••••• I••• to S••••• I••••••••• A•••••••• L••
  left Oct 20, 2011, registered Jun 5, 2009 (-867 days) · Other
• S••••• I••••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Mar 30, 2011, registered Oct 19, 2011 (203 days) · Other
• S••••• I••••••••• A•••••••• L•• to V•••••• A•••••••• I•••
  left Dec 31, 2008, registered Sep 27, 2004 (-1556 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