RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Aug 20, 2019 · Castle Rock, Co
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to Aug 22, 2019 · Woodland Hills, Ca
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jul 31, 2006 to Oct 5, 2009 · Woodland Hills, Ca
• M••••• S•••••• D• I••• unclassified
  Oct 9, 2003 to Jun 1, 2006 · Thousand Oak, Ca

• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Aug 22, 2019, registered Aug 20, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to A••••••••• A•••••• S•••••••• I•••
  left Jun 1, 2006, registered Jul 31, 2006 (60 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address