R••••• G••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Apr 15, 2015 · Houston, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Apr 8, 2015 · Houston, Tx
• C•••• I••••••••• S••••••• C•••• former
  Sep 13, 2011 to Oct 1, 2012 · Houston, Tx
• E••••• J•••• national BD
  Jun 10, 2008 to Aug 3, 2011 · Houston, Tx

• J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Apr 8, 2015, registered Apr 15, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• E••••• J•••• to C•••• I••••••••• S••••••• C••••
  left Aug 3, 2011, registered Sep 13, 2011 (41 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

Wirehousederived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address