RIA Intelligence

• C•••••• S••••• • C••• I••• national BD current
  since Jan 23, 2020 · Houston, Tx
• T• A••••••••• I••••••••• M••••••••• L•• former
  Apr 26, 2017 to Dec 17, 2019 · Houston, Tx
• T• A••••••••• I••• former
  Apr 26, 2017 to Dec 17, 2019 · Houston, Tx
• E••••• J•••• national BD
  May 12, 2015 to Mar 21, 2016 · Houston, Tx

• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Dec 17, 2019, registered Apr 26, 2017 (-965 days) · channel change inside one enterprise, not a move · moved with a team
• T• A••••••••• I••• to C•••••• S••••• • C••• I•••
  left Dec 17, 2019, registered Jan 23, 2020 (37 days) · channel change inside one enterprise, not a move · moved with a team
• E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••
  left Mar 21, 2016, registered Apr 26, 2017 (401 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

National broker-dealer RIAderived

Years in industry

11derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address