RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 23, 2023 · Windsor, Co
• L••• S••••• A•••••••• L•• former
  May 15, 2020 to Jan 14, 2022 · Austin, Tx
• L•• F•••••••• L•• BD affiliated
  Oct 11, 2017 to Apr 6, 2020 · San Diego, Ca
• W•••••• • R••• former
  Aug 13, 2014 to Jun 21, 2017 · Ft. Collins, Co

• L••• S••••• A•••••••• L•• to L•• F•••••••• L••
  left Jan 14, 2022, registered Jun 23, 2023 (525 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to L••• S••••• A•••••••• L••
  left Apr 6, 2020, registered May 15, 2020 (39 days) · Affiliated broker-dealer or bank to another
• W•••••• • R••• to L•• F•••••••• L••
  left Jun 21, 2017, registered Oct 11, 2017 (112 days) · Other

• C••••••••• M•••••• S••••••• left L••• S••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2023-06-23)
  Jan 14, 2022 · 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

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address