RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Liberty, Mo
• S••••• F•••••••• G•••• I•• former
  Sep 1, 2016 to May 20, 2021 · North Kansas City, Mo
• V•• A••••••• S••••••• former
  Oct 31, 2007 to Sep 1, 2016 · North Kansas City, Mo
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 30, 2006 to Nov 21, 2007 · Kansas City, Mo

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
• V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••
  left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to V•• A••••••• S•••••••
  left Nov 21, 2007, registered Oct 31, 2007 (-21 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