RIA Intelligence

• I•••••• I••••••••• L•• asset manager current
  since Aug 7, 2020 · Meridian, Id
• C••••••• F•••••••• D••••••• I••• BD affiliated
  Jul 27, 2015 to Feb 2, 2017 · Hollister, Ca
• N••• F•••••••• G••••• I••• former
  May 4, 2011 to Jul 24, 2015 · Houston, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2011 to May 12, 2011 · Carmel, Ca
• W•••• F•••• I••••••••• L•• unclassified
  Nov 12, 2008 to Jan 3, 2011 · Carmel, Ca

• C••••••• F•••••••• D••••••• I••• to I•••••• I••••••••• L••
  left Feb 2, 2017, registered Aug 7, 2020 (1282 days) · Other
• N••• F•••••••• G••••• I••• to C••••••• F•••••••• D••••••• I•••
  left Jul 24, 2015, registered Jul 27, 2015 (3 days) · Other
• W•••• F•••• A••••••• to N••• F•••••••• G••••• I•••
  left May 12, 2011, registered May 4, 2011 (-8 days) · Other
• W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
  left Jan 3, 2011, registered Jan 3, 2011 (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

Asset manager (funds and pooled vehicles)derived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address