RIA Intelligence

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Jun 25, 2021 · Hinton, Ok
• W•••• F•••• A••••••• wirehouse
  Nov 3, 2015 to Jun 29, 2021 · Oklahoma City, Ok
• I••••••••• P••••••••• I••• former
  May 20, 2009 to Nov 17, 2015 · San Antonio, Tx
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Mar 23, 2009 · Oklahoma City, Ok
• M••••• S•••••• D• I••• unclassified
  Oct 16, 2006 to Apr 2, 2007 · Oklahoma City, Ok

• W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jun 29, 2021, registered Jun 25, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• I••••••••• P••••••••• I••• to W•••• F•••• A•••••••
  left Nov 17, 2015, registered Nov 3, 2015 (-14 days) · Other
• M••••• S•••••• • C•• L•• to I••••••••• P••••••••• I•••
  left Mar 23, 2009, registered May 20, 2009 (58 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (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

Broker-dealer affiliated wealth managerderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address