RIA Intelligence

• C•••••••• F•••••••• state registered current
  since Feb 10, 2022 · Fargo, Nd
• M•• I•••••••• S•••••••• L•• BD affiliated
  Apr 22, 2021 to Jan 5, 2022 · Fargo, Nd
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jun 10, 2019 to Apr 14, 2021 · Fargo, Nd

• M•• I•••••••• S•••••••• L•• to C•••••••• F••••••••
  left Jan 5, 2022, registered Feb 10, 2022 (36 days) · Affiliated broker-dealer or bank to a state-registered adviser
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
  left Apr 14, 2021, registered Apr 22, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

• M•••••• J••• B••••• left M•• I•••••••• S•••••••• L•• for C•••••••• F•••••••• (registered 2022-02-10)
  Jan 5, 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

STATE REGISTEREDderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address