RIA Intelligence

• V•••••• A•••••••• I••• BD affiliated current
  since Sep 18, 2015 · Newport News, Va
• M••••• A••••••• S•••••••• I••• unclassified
  Feb 26, 2009 to Sep 17, 2015 · Williamsburg, Va
• V•••••• A•••••••• I••• BD affiliated
  Dec 10, 2008 to Feb 17, 2009 · Newport News, Va
• P•••• S••••••••• L•• no RAUM
  Aug 4, 2003 to Dec 2, 2008 · Newport News, Va

• M••••• A••••••• S•••••••• I••• to V•••••• A•••••••• I•••
  left Sep 17, 2015, registered Sep 18, 2015 (1 days) · Other
• V•••••• A•••••••• I••• to M••••• A••••••• S•••••••• I•••
  left Feb 17, 2009, registered Feb 26, 2009 (9 days) · Other
• P•••• S••••••••• L•• to V•••••• A•••••••• I•••
  left Dec 2, 2008, registered Dec 10, 2008 (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

46derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address