RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Aug 11, 2017 · Northridge, Ca
• L•• F•••••••• L•• BD affiliated
  Aug 15, 2012 to Aug 15, 2017 · Santa Clarita, Ca
• U••• B•••••• A•••••••• L•• BD affiliated
  Jan 8, 2010 to Nov 4, 2010 · Pasadena, Ca
• L•• F•••••••• L•• BD affiliated
  Dec 24, 2008 to Nov 17, 2009 · Burbank, Ca
• W••• I••••••••• I••• unclassified
  Apr 14, 2008 to Jan 7, 2009 · Burbank, Ca

• L•• F•••••••• L•• to J••• M••••• S••••••••• L••
  left Aug 15, 2017, registered Aug 11, 2017 (-4 days) · Other · moved with a team
• U••• B•••••• A•••••••• L•• to L•• F•••••••• L••
  left Nov 4, 2010, registered Aug 15, 2012 (650 days) · Other
• L•• F•••••••• L•• to U••• B•••••• A•••••••• L••
  left Nov 17, 2009, registered Jan 8, 2010 (52 days) · Other
• W••• I••••••••• I••• to L•• F•••••••• L••
  left Jan 7, 2009, registered Dec 24, 2008 (-14 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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address