RIA Intelligence

• W•••••• S••••••••• I••• BD affiliated current
  since Apr 26, 2010 · Denver, Co
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jul 17, 2009 to Apr 29, 2010 · Richardson, Tx
• A••••••••• A•••••• S•••••••• I••• unclassified
  Sep 12, 2007 to Oct 5, 2009 · Richardson, Tx
• M••••• K••••• • C••••••• L•• former
  Feb 18, 2004 to Sep 5, 2007 · Fort Worth, Tx
• W•••• F•••• A••••••• wirehouse
  May 11, 1998 to Mar 30, 2004 · Fort Worth, Tx

• A••••••••• F•••••••• S•••••••• L•• to W•••••• S••••••••• I•••
  left Apr 29, 2010, registered Apr 26, 2010 (-3 days) · Other
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Jul 17, 2009 (-80 days) · corporate re-registration, not a move
• M••••• K••••• • C••••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Sep 5, 2007, registered Sep 12, 2007 (7 days) · Other
• W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
  left Mar 30, 2004, registered Feb 18, 2004 (-41 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

Broker-dealer affiliated wealth managerderived

Years in industry

45derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address