RIA Intelligence

• L••••••• S••••••••• C•••• BD affiliated current
  since Jan 3, 2014 · Mitchellville, Md
• A•• A••••••• unclassified
  Aug 20, 2007 to Dec 31, 2011 · Mitchellville, Md
• P•• A••••••• S•••••••• L•• independent RIA
  Aug 13, 2007 to May 10, 2013 · Mitcheville, Md
• L•• F•••••••• L•• BD affiliated
  Nov 19, 2003 to Dec 9, 2004 · Washington, Dc
• R•••• S••••••••• I••• unclassified
  Jul 16, 2003 to Nov 24, 2003 · Washington, Dc
• U•• F•••••••• S••••••• I••• wirehouse
  Jul 23, 2001 to Jun 3, 2003 · Largo, Md

• P•• A••••••• S•••••••• L•• to A•• A•••••••
  left May 10, 2013, registered Aug 20, 2007 (-2090 days) · Other
• A•• A••••••• to L••••••• S••••••••• C••••
  left Dec 31, 2011, registered Jan 3, 2014 (734 days) · Other
• L•• F•••••••• L•• to P•• A••••••• S•••••••• L••
  left Dec 9, 2004, registered Aug 13, 2007 (977 days) · Other
• R•••• S••••••••• I••• to L•• F•••••••• L••
  left Nov 24, 2003, registered Nov 19, 2003 (-5 days) · Other
• U•• F•••••••• S••••••• I••• to R•••• S••••••••• I•••
  left Jun 3, 2003, registered Jul 16, 2003 (43 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address