R•••••• A••••• S•••••

• S••••• I••••••••• C••••••••• former current
  since May 24, 2023 · Ft. Worth, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Dec 5, 2017 to Feb 8, 2023 · Dallas, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 22, 2006 to Dec 11, 2017 · Dallas, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jul 31, 1993 to Nov 30, 2006 · Dallas, Tx

• J••• M••••• S••••••••• L•• to S••••• I••••••••• C•••••••••
  left Feb 8, 2023, registered May 24, 2023 (105 days) · Wirehouse to independent RIA
• U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
  left Dec 11, 2017, registered Dec 5, 2017 (-6 days) · Wirehouse to wirehouse · moved with a team
• C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
  left Nov 30, 2006, registered Nov 22, 2006 (-8 days) · Other

• ••• Locked
  Feb 8, 2023 · 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

Former SEC-registered adviserderived

Years in industry

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address