RIA Intelligence

• S••••• A••••••• I••• BD affiliated current
  since Jun 30, 2016 · Hoover, Al
• S••••• A••• A•••• M••••••••• I••• former
  Aug 27, 2014 to Jun 30, 2016 · Birmingham, Al
• P•• A••••••• mixed wealth
  Jun 6, 2013 to Aug 15, 2014 · Hoover, Al
• S••••• A••• A•••• M••••••••• I••• former
  Aug 17, 2007 to May 30, 2014 · Birmingham, Al
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Aug 23, 2007 · Birmingham, Al
• P••••••••• E••••• G••••• L•• unclassified
  Dec 3, 2002 to Jul 1, 2003 · Birmingham, Al

• S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••
  left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
• P•• A••••••• to S••••• A••• A•••• M••••••••• I•••
  left Aug 15, 2014, registered Aug 27, 2014 (12 days) · Other
• S••••• A••• A•••• M••••••••• I••• to P•• A•••••••
  left May 30, 2014, registered Jun 6, 2013 (-358 days) · Other
• W•••• F•••• A••••••• to S••••• A••• A•••• M••••••••• I•••
  left Aug 23, 2007, registered Aug 17, 2007 (-6 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

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

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address