RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 10, 2012 · Carmel, In
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 2, 2009 to Dec 21, 2012 · Indianapolis, In
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Jun 17, 2005 to Jan 2, 2009 · Indianapolis, In
• G••••• W••••• M••••••••• I••• BD affiliated
  Apr 1, 2004 to Jun 20, 2005 · Indianapolis, In

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
  left Dec 21, 2012, registered Dec 10, 2012 (-11 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
• G••••• W••••• M••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
  left Jun 20, 2005, registered Jun 17, 2005 (-3 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

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address