RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 23, 2020 · St. Peters, Mo
• P•• W••••• M••••••••• BD affiliated
  Mar 18, 2014 to Jul 28, 2020 · Warrenton, Mo
• U••• B•••••• I••••••••• I••• former
  Jan 29, 2010 to Mar 14, 2014 · Crystal City, Mo
• W•••• F•••• A••••••• wirehouse
  Dec 15, 2009 to Jan 7, 2010 · Creve Coeur, Mo

• P•• W••••• M••••••••• to L•• F•••••••• L••
  left Jul 28, 2020, registered Jul 23, 2020 (-5 days) · Affiliated broker-dealer or bank to another
• U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••
  left Mar 14, 2014, registered Mar 18, 2014 (4 days) · Other
• W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
  left Jan 7, 2010, registered Jan 29, 2010 (22 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address