RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 4, 2022 · Richmond, Tx
• E••••• J•••• national BD
  May 31, 2017 to Oct 6, 2022 · Rosenberg, Tx
• P•••••••• A••••••• national BD
  Nov 2, 2015 to Mar 9, 2017 · Burnsville, Mn
• P•••••••• A••••••• national BD
  Nov 15, 2013 to Dec 31, 2013 · Burnsville, Mn

• E••••• J•••• to L•• F•••••••• L••
  left Oct 6, 2022, registered Oct 4, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• P•••••••• A••••••• to E••••• J••••
  left Mar 9, 2017, registered May 31, 2017 (83 days) · Affiliated broker-dealer or bank to another

• B••••••• W•••• D•••• left E••••• J•••• for L•• F•••••••• L•• (registered 2022-10-04)
  Oct 6, 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

24derivedfrom the earliest dated exam, employment or registration

Not published

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