RIA Intelligence

• F•••• M••• F••••••••• L•• state registered current
  since Oct 24, 2017 · The Woodlands, Tx
• H•• W••••• M••••••••• L•• independent RIA
  Feb 9, 2016 to Sep 8, 2017 · The Woodlands, Tx
• B••• O••••• S••••••••• L•• unclassified
  Apr 9, 2015 to Dec 5, 2016 · The Woodlands, Tx
• M•• F••••• W••••• A••••••• independent RIA
  Jul 23, 2007 to Apr 4, 2008 · Bend, Or
• A•••••• L•• former
  Feb 2, 2007 to Jul 9, 2007 · Eugene, Or
• K•• F•••••••• S•••••••• I•• former
  Dec 12, 2006 to Jun 29, 2007 · Eugene, Or

• H•• W••••• M••••••••• L•• to F•••• M••• F••••••••• L••
  left Sep 8, 2017, registered Oct 24, 2017 (46 days) · Other
• B••• O••••• S••••••••• L•• to H•• W••••• M••••••••• L••
  left Dec 5, 2016, registered Feb 9, 2016 (-300 days) · Other
• M•• F••••• W••••• A••••••• to B••• O••••• S••••••••• L••
  left Apr 4, 2008, registered Apr 9, 2015 (2561 days) · Other
• A•••••• L•• to M•• F••••• W••••• A•••••••
  left Jul 9, 2007, registered Jul 23, 2007 (14 days) · Other
• K•• F•••••••• S•••••••• I•• to A•••••• L••
  left Jun 29, 2007, registered Feb 2, 2007 (-147 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

STATE REGISTEREDderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address