RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Nov 29, 2021 · Richmond, Va
• O•••• I••••••••• I••• BD affiliated
  Mar 21, 2017 to Dec 2, 2021 · Kilmarnock, Va
• L•• F•••••••• L•• BD affiliated
  Oct 11, 2011 to Mar 29, 2017 · Saluda, Va
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Apr 30, 2008 to Oct 11, 2011 · West Point, Va
• B• I••••••••• L•• unclassified
  Jan 11, 2005 to Apr 30, 2008 · West Point, Va
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Feb 22, 1999 to Jan 18, 2005 · West Point, Va

• O•••• I••••••••• I••• to L•• F•••••••• L••
  left Dec 2, 2021, registered Nov 29, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
• L•• F•••••••• L•• to O•••• I••••••••• I•••
  left Mar 29, 2017, registered Mar 21, 2017 (-8 days) · Other
• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
• B• I••••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
  left Apr 30, 2008, registered Apr 30, 2008 (0 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to B• I••••••••• L••
  left Jan 18, 2005, registered Jan 11, 2005 (-7 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

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address