RIA Intelligence

• M•••• C••••••• A••••••• S•••••• BD affiliated current
  since May 3, 2018 · Surprise, Az
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to May 7, 2018 · Bellevue, Wa
• A••••••••• A•••••• S•••••••• I••• unclassified
  Nov 17, 2008 to Oct 5, 2009 · Bellevue, Wa
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Nov 10, 2008 · Bellevue, Wa
• M••••• S•••••• D• I••• unclassified
  Aug 13, 2004 to Apr 2, 2007 · Bellevue, Wa
• A• G• E•••••• • S•••• I••• unclassified
  Sep 12, 2002 to Aug 19, 2004 · Kirkland, Wa

• A••••••••• F•••••••• S•••••••• L•• to M•••• C••••••• A••••••• S••••••
  left May 7, 2018, registered May 3, 2018 (-4 days) · Affiliated broker-dealer or bank to another
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• • C•• L•• to A••••••••• A•••••• S•••••••• I•••
  left Nov 10, 2008, registered Nov 17, 2008 (7 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• A• G• E•••••• • S•••• I••• to M••••• S•••••• D• I•••
  left Aug 19, 2004, registered Aug 13, 2004 (-6 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address