RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Jul 1, 2020 · Austin, Tx
• A•••••• A••••••• S••••••• former
  Oct 25, 2019 to Apr 11, 2022 · Irving, Tx
• 1•• G••••• A••••••• I•• former
  Dec 21, 2012 to Oct 25, 2019 · Morgan City, La
• E••••• J•••• national BD
  Jan 12, 2007 to Jan 2, 2013 · Morgan City, La

• A•••••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••
  left Apr 11, 2022, registered Jul 1, 2020 (-649 days) · Affiliated broker-dealer or bank to another
• 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••
  left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
• E••••• J•••• to 1•• G••••• A••••••• I••
  left Jan 2, 2013, registered Dec 21, 2012 (-12 days) · Other

• C••••• E• L••••• left A•••••• A••••••• S••••••• for K••••• A••••••• S•••••••• L•• (registered 2020-07-01)
  Apr 11, 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