RIA Intelligence

• S•••• T••• P••••••• L•• state registered current
  since Jul 30, 2009 · Dallas, Tx
• B••••••• L•••••• A•• N••• S••••••••• L••• unclassified
  Aug 2, 2013 to Nov 30, 2015 · Irving, Tx
• S•••••• S••••••••• BD affiliated
  Nov 10, 2011 to Aug 1, 2013 · Houston, Tx
• E••••• I••••••••• A••••••• unclassified
  Jul 18, 2008 to Dec 31, 2010 · Austin, Tx
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jul 25, 2008 · Plano, Tx
• M••••• S•••••• D• I••• unclassified
  Mar 30, 2006 to Apr 2, 2007 · Plano, Tx

• B••••••• L•••••• A•• N••• S••••••••• L••• to no registered destination
  left Nov 30, 2015 · Departure, no registered destination
• S•••••• S••••••••• to B••••••• L•••••• A•• N••• S••••••••• L•••
  left Aug 1, 2013, registered Aug 2, 2013 (1 days) · Other
• E••••• I••••••••• A••••••• to S•••• T••• P••••••• L••
  left Dec 31, 2010, registered Jul 30, 2009 (-519 days) · Other
• M••••• S•••••• • C•• L•• to E••••• I••••••••• A•••••••
  left Jul 25, 2008, registered Jul 18, 2008 (-7 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

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

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address