RIA Intelligence

• M••••• S•••••• wirehouse current
  since Jun 1, 2009 · Chicago, Il
• M••••• S•••••• • C•• L•• unclassified
  Feb 20, 2009 to Jun 1, 2009 · Chicago, Il
• L••••••• A•••• M••••••••• L•• asset manager
  May 23, 2005 to Feb 27, 2009 · Chicago, Il
• C••••• S••••• S••••••••• •••• L•• former
  Jan 17, 2003 to Dec 13, 2004 · Chicago, Il
• P••••••• L•• unclassified
  Jun 13, 1998 to Jan 17, 2003 · Chicago, Il

• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• L••••••• A•••• M••••••••• L•• to M••••• S•••••• • C•• L••
  left Feb 27, 2009, registered Feb 20, 2009 (-7 days) · Other
• C••••• S••••• S••••••••• •••• L•• to L••••••• A•••• M••••••••• L••
  left Dec 13, 2004, registered May 23, 2005 (161 days) · Other
• P••••••• L•• to C••••• S••••• S••••••••• •••• L••
  left Jan 17, 2003, registered Jan 17, 2003 (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

Wirehousederived

Years in industry

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address