RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 1, 2012 · Grand Prairie, Tx
• C•••• I••••••••• S••••••• C•••• former
  Sep 30, 2011 to Oct 1, 2012 · Arlington, Tx
• M••••• S•••••• wirehouse
  Dec 3, 2010 to Sep 9, 2011 · Arlington, Tx
• W•••••• • R••• former
  Oct 7, 2008 to Aug 17, 2010 · Colleyville, Tx

• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• M••••• S•••••• to C•••• I••••••••• S••••••• C••••
  left Sep 9, 2011, registered Sep 30, 2011 (21 days) · Other
• W•••••• • R••• to M••••• S••••••
  left Aug 17, 2010, registered Dec 3, 2010 (108 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

Wirehousederived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address