RIA Intelligence

• J•••••• P•••••• W••••• M••••••••• L•• state registered current
  since Apr 15, 2015 · Sarasota, Fl
• C••••••• S••••••••• I••• BD affiliated
  Jan 10, 2011 to Jun 7, 2012 · Wood Dale, Il
• I••••••••• P••••••••• I••• former
  Jul 16, 2010 to Dec 22, 2010 · San Antonio, Tx
• M•••••• F•••••••• A•• I••••••••• S•••••••• I••• unclassified
  May 8, 2007 to Jun 16, 2010 · Mchenry, Il

• C••••••• S••••••••• I••• to J•••••• P•••••• W••••• M••••••••• L••
  left Jun 7, 2012, registered Apr 15, 2015 (1042 days) · Other
• I••••••••• P••••••••• I••• to C••••••• S••••••••• I•••
  left Dec 22, 2010, registered Jan 10, 2011 (19 days) · Other
• M•••••• F•••••••• A•• I••••••••• S•••••••• I••• to I••••••••• P••••••••• I•••
  left Jun 16, 2010, registered Jul 16, 2010 (30 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

STATE REGISTEREDderived

Years in industry

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address