T••••• M•••••• D•••••••••

• S•••••• G•••• L•• independent RIA current
  since Nov 28, 2016 · Lyons, Co
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Nov 28, 2011 to Nov 30, 2016 · Boulder, Co
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to Nov 30, 2011 · Boulder, Co
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jan 7, 2009 to Oct 5, 2009 · Boulder, Co

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• G•••• L••
  left Nov 30, 2016, registered Nov 28, 2016 (-2 days) · Wirehouse to independent RIA
• A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Nov 30, 2011, registered Nov 28, 2011 (-2 days) · Affiliated broker-dealer or bank to wirehouse
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (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

Independent wealth managerderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address