RIA Intelligence

• W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
  since Jul 1, 2021 · Plymouth, Mn
• L••••••••• W••••• M••••••••• former
  Jan 20, 2009 to Jul 23, 2021 · New Market, Md
• S•• I••••••••• I••• former
  Jan 15, 2009 to Oct 9, 2012 · New Market, Md
• L••••• S••••• S••••••••• I••• unclassified
  Jan 12, 2004 to Jan 1, 2004 · Mt Airy, Md
• V••• F•••••••• A•••••••• I••• BD affiliated
  Jan 1, 2004 to Jan 21, 2009 · Mt Airy, Md
• M•• F•••••••• S•••••••• I••• former
  May 25, 2001 to Apr 23, 2003 · Linthicum, Md

• L••••••••• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••
  left Jul 23, 2021, registered Jul 1, 2021 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
• S•• I••••••••• I••• to L••••••••• W••••• M•••••••••
  left Oct 9, 2012, registered Jan 20, 2009 (-1358 days) · Other
• V••• F•••••••• A•••••••• I••• to L••••• S••••• S••••••••• I•••
  left Jan 21, 2009, registered Jan 12, 2004 (-1836 days) · Other
• L••••• S••••• S••••••••• I••• to S•• I••••••••• I•••
  left Jan 1, 2004, registered Jan 15, 2009 (1841 days) · Other
• M•• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••
  left Apr 23, 2003, registered Jan 1, 2004 (253 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

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address