RIA Intelligence

• F• W••••• M••••••••• L•• state registered current
  since Nov 9, 2015 · Arlington, Tx
• L•••• F••• A••••••• S••••••• BD affiliated
  Jun 30, 2014 to Nov 2, 2015 · Arlington, Tx
• V•• A••••••• S••••••• former
  Sep 22, 2009 to Jun 27, 2014 · Arlington, Tx
• H• B•••• I••• former
  Mar 24, 2004 to Sep 28, 2009 · Arlington, Tx
• S••••• I••••••••• A••••••• C•••• unclassified
  Oct 16, 2003 to Jul 2, 2004 · Murray, Ut
• O•••• W•••••• I••• BD affiliated
  Apr 1, 2003 to Oct 1, 2003 · Murray, Ut

• L•••• F••• A••••••• S••••••• to F• W••••• M••••••••• L••
  left Nov 2, 2015, registered Nov 9, 2015 (7 days) · Other
• V•• A••••••• S••••••• to L•••• F••• A••••••• S•••••••
  left Jun 27, 2014, registered Jun 30, 2014 (3 days) · Other
• H• B•••• I••• to V•• A••••••• S•••••••
  left Sep 28, 2009, registered Sep 22, 2009 (-6 days) · Other
• S••••• I••••••••• A••••••• C•••• to H• B•••• I•••
  left Jul 2, 2004, registered Mar 24, 2004 (-100 days) · Other
• O•••• W•••••• I••• to S••••• I••••••••• A••••••• C••••
  left Oct 1, 2003, registered Oct 16, 2003 (15 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

STATE REGISTEREDderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address