RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Aug 21, 2023 · Peoria, Az
• O•••• F•• I••• former
  May 2, 2016 to Aug 22, 2023 · Peoria, Az
• E•••••••• A•••••••• L•• national BD
  Dec 19, 2012 to May 4, 2016 · Scottsdale, Az
• 1•• G••••• A••••••• I•• former
  Mar 9, 2011 to Dec 16, 2011 · Scottsdale, Az
• E•••••••• A•••••••• L•• national BD
  Sep 28, 2009 to Feb 17, 2011 · Scottsdale, Az

• O•••• F•• I••• to L•• F•••••••• L••
  left Aug 22, 2023, registered Aug 21, 2023 (-1 days) · Affiliated broker-dealer or bank to another
• E•••••••• A•••••••• L•• to O•••• F•• I•••
  left May 4, 2016, registered May 2, 2016 (-2 days) · Other
• 1•• G••••• A••••••• I•• to E•••••••• A•••••••• L••
  left Dec 16, 2011, registered Dec 19, 2012 (369 days) · Other
• E•••••••• A•••••••• L•• to 1•• G••••• A••••••• I••
  left Feb 17, 2011, registered Mar 9, 2011 (20 days) · Other

• A••••• W•••••• S•••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2023-08-21)
  Aug 22, 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address