RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 4, 2011 · Santa Monica, Ca
• P••••••• F••••••••• I••• independent RIA
  Jan 2, 2018 to Apr 19, 2018 · Gaithersburg, Md
• N••••••••• S••••••••• L•• no RAUM
  Aug 1, 2008 to Feb 28, 2011 · Bethesda, Md
• 1••• C•••••• M••••••••• C•••••• unclassified
  Jan 9, 2008 to Aug 1, 2008 · Bethesda, Md
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jan 28, 2005 to Nov 19, 2007 · Bethesda, Md
• S••••••• I••••••••• S•••••••• I••• former
  May 26, 2000 to Feb 4, 2005 · Rockville, Md

• P••••••• F••••••••• I••• to no registered destination
  left Apr 19, 2018 · Departure, no registered destination
• N••••••••• S••••••••• L•• to L•• F•••••••• L••
  left Feb 28, 2011, registered Mar 4, 2011 (4 days) · Other
• 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••
  left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••
  left Nov 19, 2007, registered Jan 9, 2008 (51 days) · Other
• S••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Feb 4, 2005, registered Jan 28, 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

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address