RIA Intelligence

• R•••••• J•••• • A••••••••• I••• national BD current
  since Jul 26, 2019 · San Diego, Ca
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jul 16, 2019 · San Diego, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Aug 18, 2005 to Jan 1, 2008 · San Diego, Ca
• M••••• S•••••• D• I••• unclassified
  Feb 13, 2002 to Aug 29, 2005 · La Mesa, Ca

• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Jul 16, 2019, registered Jul 26, 2019 (10 days) · Wirehouse to affiliated broker-dealer or bank
• 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
• M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••
  left Aug 29, 2005, registered Aug 18, 2005 (-11 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

National broker-dealer RIAderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address