RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 15, 2011 · Sacramento, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Dec 15, 2011 · Sacramento, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Nov 17, 2005 to Jan 1, 2008 · St. Louis, Mo
• A••••• A•••••••• L•• independent RIA
  Jul 14, 2004 to Dec 31, 2004 · Sacramento, Ca
• A••••• A•••••••• L•• independent RIA
  Jul 14, 2004 to Dec 12, 2005
• M••••• S•••••• D• I••• unclassified
  Mar 22, 2001 to Apr 7, 2004 · Sacramento, Ca

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Dec 15, 2011, registered Dec 15, 2011 (0 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• A••••• A•••••••• L•• to A• G• E•••••• • S•••• I•••
  left Dec 12, 2005, registered Nov 17, 2005 (-25 days) · Other
• M••••• S•••••• D• I••• to A••••• A•••••••• L••
  left Apr 7, 2004, registered Jul 14, 2004 (98 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address