RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Dec 18, 2015 · Houston, Tx
• C•••••• O•• A•••••••• L•• former
  Jan 28, 2015 to Dec 21, 2015 · Seattle, Wa
• C•••••• O•• F•••••••• A••••••• L•• unclassified
  Dec 20, 2012 to Jan 28, 2015 · Melville, Ny
• E••••• J•••• national BD
  Jan 21, 2011 to Dec 10, 2012 · Houston, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to Jan 26, 2011 · Conroe, Tx
• W•••• F•••• I••••••••• L•• unclassified
  Nov 4, 2008 to Jan 3, 2011 · Huffman, Tx

• C•••••• O•• A•••••••• L•• to W•••• F•••• A•••••••
  left Dec 21, 2015, registered Dec 18, 2015 (-3 days) · Other
• C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
  left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
• E••••• J•••• to C•••••• O•• F•••••••• A••••••• L••
  left Dec 10, 2012, registered Dec 20, 2012 (10 days) · Other
• W•••• F•••• A••••••• to E••••• J••••
  left Jan 26, 2011, registered Jan 21, 2011 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (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

Wirehousederived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address