R••• C••••••••• T••••••

• L•• F•••••••• L•• BD affiliated current
  since Mar 1, 2021 · San Diego, Ca
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 25, 2016 to Feb 11, 2021 · Austin, Tx
• N•• A•••••• S•••••••• L•• former
  Aug 22, 2013 to Sep 22, 2016 · Austin, Tx
• W•••• F•••• A••••••• wirehouse
  Jan 17, 2013 to May 14, 2013 · Austin, Tx

• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left Feb 11, 2021, registered Mar 1, 2021 (18 days) · Affiliated broker-dealer or bank to another
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 25, 2016 (-150 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to N•• A•••••• S•••••••• L••
  left May 14, 2013, registered Aug 22, 2013 (100 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

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address