RIA Intelligence

• J• F•••••••• F•••••• L•• state registered current
  since Jul 19, 2019 · San Jose, Ca
• 1•• G••••• A••••••• I•• former
  Jan 5, 2010 to Jul 30, 2019 · Santa Clara, Ca
• T•• S•••••••• F•••••••• A••••••• BD affiliated
  Sep 4, 2007 to Dec 31, 2009 · Atlanta, Ga
• F••••••• S••••••••• I••• former
  Jan 2, 2004 to Sep 7, 2007 · San Jose, Ca
• W•••••• • R••• former
  Oct 24, 2002 to Jan 7, 2004 · Santa Clara, Ca

• 1•• G••••• A••••••• I•• to J• F•••••••• F•••••• L••
  left Jul 30, 2019, registered Jul 19, 2019 (-11 days) · Affiliated broker-dealer or bank to a state-registered adviser
• T•• S•••••••• F•••••••• A••••••• to 1•• G••••• A••••••• I••
  left Dec 31, 2009, registered Jan 5, 2010 (5 days) · Other
• F••••••• S••••••••• I••• to T•• S•••••••• F•••••••• A•••••••
  left Sep 7, 2007, registered Sep 4, 2007 (-3 days) · Other
• W•••••• • R••• to F••••••• S••••••••• I•••
  left Jan 7, 2004, registered Jan 2, 2004 (-5 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address