RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since May 2, 2016 · Blanco, Tx
• F•••• I••••••••• A••••••• S•••••••• I••• unclassified
  Aug 4, 2009 to Aug 30, 2016 · Plano, Tx
• K•• W••••• S••••••••• L•• unclassified
  Mar 13, 2009 to Dec 15, 2010 · Plano, Tx
• W•• A•••••••• L• former
  Jan 18, 2005 to Aug 3, 2009 · Plano, Tx
• P••••••••• S••••••••• I••• unclassified
  Mar 3, 2004 to Dec 31, 2004 · Plano, Tx

• F•••• I••••••••• A••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Aug 30, 2016, registered May 2, 2016 (-120 days) · Other · moved with a team
• K•• W••••• S••••••••• L•• to F•••• I••••••••• A••••••• S•••••••• I•••
  left Dec 15, 2010, registered Aug 4, 2009 (-498 days) · Other
• W•• A•••••••• L• to K•• W••••• S••••••••• L••
  left Aug 3, 2009, registered Mar 13, 2009 (-143 days) · Other
• P••••••••• S••••••••• I••• to W•• A•••••••• L•
  left Dec 31, 2004, registered Jan 18, 2005 (18 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