RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Oct 28, 2021 · Austin, Tx
• H•••••• T••••••• • K•••• L•• independent RIA
  Nov 17, 2020 to Oct 28, 2021 · Chicago, Il
• A••••••••• I••• BD affiliated
  Apr 9, 2012 to Nov 17, 2016 · Concord, Ca
• G••••••••• I••••••••• asset manager
  Jun 8, 2011 to Dec 5, 2011 · New York, Ny
• S••••••• I••••••••• I••• former
  Jul 29, 2008 to Jun 1, 2011 · Rosemont, Il

• H•••••• T••••••• • K•••• L•• to K••••• A••••••• S•••••••• L••
  left Oct 28, 2021, registered Oct 28, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
• A••••••••• I••• to H•••••• T••••••• • K•••• L••
  left Nov 17, 2016, registered Nov 17, 2020 (1461 days) · Other
• G••••••••• I••••••••• to A••••••••• I•••
  left Dec 5, 2011, registered Apr 9, 2012 (126 days) · Other
• S••••••• I••••••••• I••• to G••••••••• I•••••••••
  left Jun 1, 2011, registered Jun 8, 2011 (7 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