RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 19, 2023 · Larkspur, Ca
• B••••••• I••••••••• S•••••••• I••• ••••• former
  Feb 14, 2019 to Jul 19, 2023 · Oakley, Ca
• E••••• J•••• national BD
  Jul 3, 2018 to Jan 3, 2019 · Walnut Creek, Ca
• M••••• S•••••• wirehouse
  May 26, 2016 to Oct 17, 2017 · Walnut Creek, Ca

• B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
  left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
• E••••• J•••• to B••••••• I••••••••• S•••••••• I••• •••••
  left Jan 3, 2019, registered Feb 14, 2019 (42 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• to E••••• J••••
  left Oct 17, 2017, registered Jul 3, 2018 (259 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

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