RIA Intelligence

• M•••••• BD affiliated current
  since Feb 23, 2021 · Overland Park, Ks
• L•• F•••••••• L•• BD affiliated
  Sep 23, 2019 to Feb 4, 2021 · Denver, Co
• B•••• A•• C••••••• I••• unclassified
  Feb 6, 2019 to Dec 31, 2019 · Denver, Co
• M•••••• BD affiliated
  Jul 31, 2015 to Nov 3, 2017 · Denver, Co

• L•• F•••••••• L•• to M••••••
  left Feb 4, 2021, registered Feb 23, 2021 (19 days) · Affiliated broker-dealer or bank to another
• B•••• A•• C••••••• I••• to L•• F•••••••• L••
  left Dec 31, 2019, registered Sep 23, 2019 (-99 days) · Other
• M•••••• to B•••• A•• C••••••• I•••
  left Nov 3, 2017, registered Feb 6, 2019 (460 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

11derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address