RIA Intelligence

• B•••••••• F•••••••• state registered current
  since Jan 23, 2019 · Cashmere, Wa
• W•••••• • R••• former
  Jan 3, 2012 to Jan 28, 2019 · Seattle, Wa
• F•••• A••••• A••••••• S•••••••• I••• former
  Sep 30, 2010 to Jan 26, 2012 · Wenatchee, Wa
• G•••••••• I••••••••• M••••••••• I••• unclassified
  Sep 23, 2004 to Oct 7, 2010 · Leavenworth, Wa
• X•••• F•••••••• P•••••••• I••• unclassified
  Jan 13, 2003 to Dec 31, 2004 · Leavenworth, Wa
• X•••• I••••••••• S•••••••• I••• unclassified
  Oct 24, 2001 to Jan 15, 2003 · Leavenworth, Wa

• W•••••• • R••• to B•••••••• F••••••••
  left Jan 28, 2019, registered Jan 23, 2019 (-5 days) · Affiliated broker-dealer or bank to a state-registered adviser
• F•••• A••••• A••••••• S•••••••• I••• to W•••••• • R•••
  left Jan 26, 2012, registered Jan 3, 2012 (-23 days) · Other
• G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
  left Oct 7, 2010, registered Sep 30, 2010 (-7 days) · Other
• X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••
  left Dec 31, 2004, registered Sep 23, 2004 (-99 days) · Other
• X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••
  left Jan 15, 2003, registered Jan 13, 2003 (-2 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

STATE REGISTEREDderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address