RIA Intelligence

• C••••••••• A•••••••• I•• state registered current
  since Jan 22, 2015 · Apex, Nc
• C••••••• F•••••••• A•••••••• I••• independent RIA
  Jan 26, 2012 to Jan 20, 2015 · Greensboro, Nc
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Jun 13, 2011 · Greensboro, Nc
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jun 1, 2009 · Greensboro, Nc
• M••••• S•••••• D• I••• unclassified
  Mar 17, 2006 to Apr 2, 2007 · Greensboro, Nc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 10, 2000 to Mar 17, 2006 · Greensboro, Nc

• C••••••• F•••••••• A•••••••• I••• to C••••••••• A•••••••• I••
  left Jan 20, 2015, registered Jan 22, 2015 (2 days) · RIA to a state-registered adviser
• M••••• S•••••• to C••••••• F•••••••• A•••••••• I•••
  left Jun 13, 2011, registered Jan 26, 2012 (227 days) · Wirehouse to independent RIA
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••
  left Mar 17, 2006, registered Mar 17, 2006 (0 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

STATE REGISTEREDderived

Years in industry

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address