RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Oct 29, 2021 · Plano, Tx
• M••••• S•••••• wirehouse
  Nov 23, 2012 to Nov 16, 2021 · Atlanta, Ga
• H•••••• S••••••••• I••• BD affiliated
  Mar 1, 2012 to Nov 14, 2012 · Dallas, Tx
• W•••• F•••• A••••••• wirehouse
  Jul 30, 2007 to Feb 17, 2012 · Addison, Tx

• M••••• S•••••• to U•• F•••••••• S••••••• I•••
  left Nov 16, 2021, registered Oct 29, 2021 (-18 days) · Wirehouse to wirehouse
• H•••••• S••••••••• I••• to M••••• S••••••
  left Nov 14, 2012, registered Nov 23, 2012 (9 days) · Other
• W•••• F•••• A••••••• to H•••••• S••••••••• I•••
  left Feb 17, 2012, registered Mar 1, 2012 (13 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

Wirehousederived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address