RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Dupont, Wa
• S••••• F•••••••• G•••• I•• former
  Aug 17, 2018 to May 20, 2021 · Dupont, Wa
• L•• F•••••••• L•• BD affiliated
  Oct 28, 2016 to Aug 27, 2018 · University Place, Wa
• E••••• J•••• national BD
  Jan 30, 2012 to Nov 1, 2016 · Charlotte, Nc

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to S••••• F•••••••• G•••• I••
  left Aug 27, 2018, registered Aug 17, 2018 (-10 days) · RIA to affiliated broker-dealer or bank
• E••••• J•••• to L•• F•••••••• L••
  left Nov 1, 2016, registered Oct 28, 2016 (-4 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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address