RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Shreveport, La
• C••• B•••••••• S•••••••• I••• former
  Oct 1, 2019 to May 18, 2022 · Shreveport, La
• A••••••• F•••••••• A•••••••• L•• BD affiliated
  Aug 13, 2018 to Sep 18, 2019 · Longview, Tx
• C••• B•••••••• S•••••••• I••• former
  Sep 28, 2015 to Jul 31, 2018 · Tyler, Tx
• W•••• F•••• A••••••• wirehouse
  Apr 28, 2014 to Sep 23, 2015 · Longview, Tx
• E••••• J•••• national BD
  Jan 3, 2012 to Apr 29, 2014 · Jefferson, Tx

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• A••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
  left Sep 18, 2019, registered Oct 1, 2019 (13 days) · Affiliated broker-dealer or bank to another
• C••• B•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••
  left Jul 31, 2018, registered Aug 13, 2018 (13 days) · RIA to affiliated broker-dealer or bank
• W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••
  left Sep 23, 2015, registered Sep 28, 2015 (5 days) · Other
• E••••• J•••• to W•••• F•••• A•••••••
  left Apr 29, 2014, registered Apr 28, 2014 (-1 days) · Affiliated broker-dealer or bank to wirehouse

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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address