RIA Intelligence

• E•••••• A••••••• G••••• L•• BD affiliated current
  since Sep 13, 2022 · Redding, Ca
• J••• M••••• S••••••••• L•• wirehouse
  Apr 9, 2021 to Dec 9, 2021 · Redding, Ca
• T• A••••••••• I••• former
  Feb 27, 2018 to Jan 11, 2021 · Redding, Ca
• T• A••••••••• I••••••••• M••••••••• L•• former
  Feb 26, 2018 to Dec 31, 2020 · Omaha, Ne
• S•••••••• I••••••••• M••••••••• former
  May 12, 2017 to Feb 26, 2018 · Saint Louis, Mo
• L•• F•••••••• L•• BD affiliated
  Dec 7, 2007 to May 5, 2009 · Ferndale, Ca

• J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••
  left Dec 9, 2021, registered Sep 13, 2022 (278 days) · Wirehouse to affiliated broker-dealer or bank
• T• A••••••••• I••• to J••• M••••• S••••••••• L••
  left Jan 11, 2021, registered Apr 9, 2021 (88 days) · Other · moved with a team
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
• S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
  left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to S•••••••• I••••••••• M•••••••••
  left May 5, 2009, registered May 12, 2017 (2929 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

Broker-dealer affiliated wealth managerderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address