RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Greensboro, Nc
• B••• S••••••••• L•• former
  Sep 12, 2017 to Feb 17, 2021 · Greensboro, Nc
• S••••••• BD affiliated
  May 1, 2012 to Sep 15, 2017 · Winston-Salem, Nc
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to May 2, 2012 · Greensboro, Nc
• P••••••••• E••••• G••••• L•• unclassified
  Dec 31, 2001 to Jul 1, 2003 · Greensboro, Nc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• S••••••• to B••• S••••••••• L••
  left Sep 15, 2017, registered Sep 12, 2017 (-3 days) · Other
• W•••• F•••• A••••••• to S•••••••
  left May 2, 2012, registered May 1, 2012 (-1 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