RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 14, 2021 · Seattle, Wa
• C••••• A•••••• N••••••• L•• former
  Jun 9, 2021 to Jun 28, 2021 · Seattle, Wa
• V••• F•••••••• A•••••••• I••• BD affiliated
  Feb 8, 2008 to Jun 9, 2021 · Clackamas, Or
• E•••••••• A•••••••• L•• national BD
  Jun 2, 2004 to Feb 11, 2008 · Bellevue, Wa

• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left Jun 28, 2021, registered Jun 14, 2021 (-14 days) · Affiliated broker-dealer or bank to another
• V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
  left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
• E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••
  left Feb 11, 2008, registered Feb 8, 2008 (-3 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