RIA Intelligence

• C••• L•• BD affiliated current
  since Nov 16, 2022 · Omaha, Ne
• N•••••• A••••••• BD affiliated
  Oct 2, 2017 to Nov 10, 2022 · Monroe, La
• S•• BD affiliated
  Apr 1, 2009 to Oct 3, 2017 · Monroe, La
• W•••• F•••• A••••••• wirehouse
  Apr 13, 2006 to Mar 31, 2008 · Monroe, La
• M••••• K••••• • C••••••• L•• former
  Nov 24, 2004 to Apr 18, 2006 · Ruston, La

• N•••••• A••••••• to C••• L••
  left Nov 10, 2022, registered Nov 16, 2022 (6 days) · Affiliated broker-dealer or bank to another
• S•• to N•••••• A•••••••
  left Oct 3, 2017, registered Oct 2, 2017 (-1 days) · Other
• W•••• F•••• A••••••• to S••
  left Mar 31, 2008, registered Apr 1, 2009 (366 days) · Other
• M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••
  left Apr 18, 2006, registered Apr 13, 2006 (-5 days) · Other

• L•••• M•••••• Y•••• left N•••••• A••••••• for C••• L•• (registered 2022-11-16)
  Nov 10, 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address