A••••• J•••• G•••••

• E•••••• F•••••••• E•••••• independent RIA current
  since Apr 3, 2020 · Alburquerque, Nm
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Mar 31, 2020 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Sep 29, 2006 to Jul 13, 2018 · Albuquerque, Nm

• F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••
  left Mar 31, 2020, registered Apr 3, 2020 (3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (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

Independent wealth managerderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address