F••••••• A• P•••••

• O•••• W•••••• I••• BD affiliated current
  since Nov 12, 2020 · Kirkland, Wa
• H•••••• T••••••• • K•••• L•• independent RIA
  Jul 6, 2015 to Nov 2, 2020 · Bellevue, Wa
• P•••• S••••••••• L•• no RAUM
  Aug 6, 2013 to Oct 14, 2014 · Mercer Island, Wa
• E•••••••• A•••••••• L•• national BD
  Apr 2, 2009 to Jun 27, 2013 · Bellevue, Wa

• H•••••• T••••••• • K•••• L•• to O•••• W•••••• I•••
  left Nov 2, 2020, registered Nov 12, 2020 (10 days) · corporate re-registration, not a move
• P•••• S••••••••• L•• to H•••••• T••••••• • K•••• L••
  left Oct 14, 2014, registered Jul 6, 2015 (265 days) · Other
• E•••••••• A•••••••• L•• to P•••• S••••••••• L••
  left Jun 27, 2013, registered Aug 6, 2013 (40 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address