RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Sherman Oaks, Ca
• W•••••• • R••• former
  Jun 5, 2015 to Jul 21, 2021 · Las Vegas, Nv
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jun 10, 2015 · Los Angeles, Ca
• A• G• E•••••• • S•••• I••• unclassified
  Apr 20, 2007 to Jan 1, 2008 · St. Louis, Mo
• O••••••••• • C•• I••• BD affiliated
  Jun 23, 2003 to May 1, 2007 · Los Angeles, Ca
• W•••• F•••• A••••••• wirehouse
  May 13, 2003 to Jul 1, 2003 · Century City, Ca

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to W•••••• • R•••
  left Jun 10, 2015, registered Jun 5, 2015 (-5 days) · Other · moved with a team
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• O••••••••• • C•• I••• to A• G• E•••••• • S•••• I•••
  left May 1, 2007, registered Apr 20, 2007 (-11 days) · Other
• W•••• F•••• A••••••• to O••••••••• • C•• I•••
  left Jul 1, 2003, registered Jun 23, 2003 (-8 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

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address