RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 18, 2023 · Albuquerque, Nm
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Jul 8, 2011 to Oct 9, 2023 · Houston, Tx
• W•••••• • R••• former
  Apr 30, 2009 to Jul 7, 2011 · Albuquerque, Nm
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Sep 9, 2008 to Feb 11, 2009 · Albuquerque, Nm

• V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••
  left Oct 9, 2023, registered Sep 18, 2023 (-21 days) · Affiliated broker-dealer or bank to another
• W•••••• • R••• to V•••• F•••••••• A•••••••• I•••
  left Jul 7, 2011, registered Jul 8, 2011 (1 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••
  left Feb 11, 2009, registered Apr 30, 2009 (78 days) · Other

• A••••• M• B•••• left V•••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-09-18)
  Oct 9, 2023 · Advisor changed firm · fact

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