RIA Intelligence

• M•••••• BD affiliated current
  since Mar 31, 2021 · Portland, Or
• A••••• A•• P••••••• S••••••• BD affiliated
  Apr 10, 2015 to Mar 4, 2021 · Spokane, Wa
• T• A••••••••• I••••••••• M••••••••• L•• former
  Mar 21, 2014 to Mar 26, 2015 · Portland, Or
• T• A••••••••• I••• former
  Mar 14, 2014 to Mar 26, 2015 · Portland, Or
• S•••••••• A••••••• L•• national BD
  Mar 14, 2011 to Mar 5, 2014 · American Fork, Ut
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 20, 2007 to May 21, 2008 · Midvale, Ut

• A••••• A•• P••••••• S••••••• to M••••••
  left Mar 4, 2021, registered Mar 31, 2021 (27 days) · Affiliated broker-dealer or bank to another
• T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••
  left Mar 26, 2015, registered Apr 10, 2015 (15 days) · Other
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Mar 26, 2015, registered Mar 21, 2014 (-370 days) · channel change inside one enterprise, not a move
• S•••••••• A••••••• L•• to T• A••••••••• I•••
  left Mar 5, 2014, registered Mar 14, 2014 (9 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••
  left May 21, 2008, registered Mar 14, 2011 (1027 days) · Affiliated broker-dealer or bank to another

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