RIA Intelligence

• I•••••••• A•••••••• L•• BD affiliated current
  since Mar 21, 2022 · Omaha, Ne
• L•• F•••••••• L•• BD affiliated
  Aug 28, 2020 to Feb 22, 2022 · Omaha, Ne
• C••••• A••••••• L•• former
  Jan 20, 2012 to Sep 1, 2020 · Omaha, Ne
• S••••••••• A•••••• A•••••••• I••• former
  Apr 16, 2004 to Jan 17, 2012 · Omaha, Ne
• G•• I••••••••• I••• unclassified
  Feb 14, 2002 to Apr 2, 2004 · Omaha, Ne

• L•• F•••••••• L•• to I•••••••• A•••••••• L••
  left Feb 22, 2022, registered Mar 21, 2022 (27 days) · Affiliated broker-dealer or bank to independent RIA
• C••••• A••••••• L•• to L•• F•••••••• L••
  left Sep 1, 2020, registered Aug 28, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
• S••••••••• A•••••• A•••••••• I••• to C••••• A••••••• L••
  left Jan 17, 2012, registered Jan 20, 2012 (3 days) · Other
• G•• I••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
  left Apr 2, 2004, registered Apr 16, 2004 (14 days) · Other

• M•••••• J•••• S•••••• left L•• F•••••••• L•• for I•••••••• A•••••••• L•• (registered 2022-03-21)
  Feb 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address