RIA Intelligence

• B•••••• C•••••• L•• state registered current
  since Jun 16, 2021 · Pflugerville, Tx
• T•••••••• A•• C•••••• I••••••••• M••••••••• L•• independent RIA
  Sep 15, 2020 to May 20, 2021 · Austin, Tx
• T••••••• A•••••• N••••••• L•• BD affiliated
  Jun 23, 2020 to Sep 23, 2020 · Minneapolis, Mn
• P•• A••••••• S•••••••• L•• independent RIA
  Jan 21, 2020 to Jul 2, 2020 · Albany, Ny
• E•••••••• A•••••••• L•• national BD
  May 8, 2017 to Dec 16, 2019 · Austin, Tx

• T•••••••• A•• C•••••• I••••••••• M••••••••• L•• to B•••••• C•••••• L••
  left May 20, 2021, registered Jun 16, 2021 (27 days) · RIA to a state-registered adviser
• T••••••• A•••••• N••••••• L•• to T•••••••• A•• C•••••• I••••••••• M••••••••• L••
  left Sep 23, 2020, registered Sep 15, 2020 (-8 days) · Other
• P•• A••••••• S•••••••• L•• to T••••••• A•••••• N••••••• L••
  left Jul 2, 2020, registered Jun 23, 2020 (-9 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to P•• A••••••• S•••••••• L••
  left Dec 16, 2019, registered Jan 21, 2020 (36 days) · Affiliated broker-dealer or bank to independent RIA · 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

STATE REGISTEREDderived

Years in industry

10derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address