RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Waterloo, Il
• S•••••••• F••••••••• I••• former
  Feb 18, 2011 to Sep 1, 2023 · Scottsdale, Az
• I••••••••• A••••••• C••• former
  Nov 20, 2009 to Dec 31, 2010 · Waterloo, Il
• S•••••••• F••••••••• I••• former
  Oct 31, 2008 to Nov 23, 2009 · Waterloo, Il
• A••••••• G•••••• S••••••••• I••••••••• unclassified
  Jul 2, 2003 to Oct 31, 2008 · Waterloo, Il

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• I••••••••• A••••••• C••• to S•••••••• F••••••••• I•••
  left Dec 31, 2010, registered Feb 18, 2011 (49 days) · Other
• S•••••••• F••••••••• I••• to I••••••••• A••••••• C•••
  left Nov 23, 2009, registered Nov 20, 2009 (-3 days) · Other
• A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••
  left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move

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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address