RIA Intelligence

• J•••••••• I••••••••• A••••••• L•• mixed wealth current
  since Jun 2, 2023 · Chicago, Il
• L••••••• A•••• M••••••••• L•• asset manager
  Mar 23, 2011 to Aug 14, 2023 · Chicago, Il
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Mar 10, 2011 · Chicago, Il
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jul 7, 2005 to Oct 23, 2009 · Chicago, Il

• L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••
  left Aug 14, 2023, registered Jun 2, 2023 (-73 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••••• A•••• M••••••••• L••
  left Mar 10, 2011, registered Mar 23, 2011 (13 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (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

Wealth manager with institutional or fund businessderived

Years in industry

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address