RIA Intelligence

• S••••• O•• S••••••••• I••• BD affiliated current
  since Nov 19, 2007 · Parker, Co
• S••••••••• F•••••••• S••••••••• I•• state registered
  Jun 20, 2006 to Dec 4, 2006 · Lone Tree, Co
• H•••••• T••••••• • K•••• L•• independent RIA
  Jan 19, 2005 to Apr 26, 2006 · Lone Street, Co
• S••••••• I••••••••• I••• former
  Oct 13, 2004 to Jan 21, 2005 · Centennial, Co
• E•••••••• A•••••••• L•• national BD
  Apr 30, 2003 to Aug 3, 2004 · Denver, Co

• S••••••••• F•••••••• S••••••••• I•• to S••••• O•• S••••••••• I•••
  left Dec 4, 2006, registered Nov 19, 2007 (350 days) · Other
• H•••••• T••••••• • K•••• L•• to S••••••••• F•••••••• S••••••••• I••
  left Apr 26, 2006, registered Jun 20, 2006 (55 days) · Other
• S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••
  left Jan 21, 2005, registered Jan 19, 2005 (-2 days) · Other
• E•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
  left Aug 3, 2004, registered Oct 13, 2004 (71 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