RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Concord, Ca
• O•••• F•• I••• former
  Jun 12, 2017 to Jan 24, 2025 · San Ramon, Ca
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Jun 13, 2017 · San Ramon, Ca
• M•• F•••••••• S•••••••• I••• former
  Feb 18, 2016 to Mar 25, 2017 · San Ramon, Ca

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to O•••• F•• I•••
  left Jun 13, 2017, registered Jun 12, 2017 (-1 days) · Other · moved with a team
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

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

10derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address