RIA Intelligence

• W•• I•••••••• L•• state registered current
  since Sep 6, 2016 · Swarthmore, Pa
• R•• C•••••• M••••••• L•• national BD
  Mar 13, 2009 to Sep 13, 2016 · Wilmington, De
• F•••••• B•••• W••••• L•• unclassified
  Nov 22, 2002 to Mar 13, 2009 · Huntington, Wv

• R•• C•••••• M••••••• L•• to W•• I•••••••• L••
  left Sep 13, 2016, registered Sep 6, 2016 (-7 days) · Affiliated broker-dealer or bank to a state-registered adviser
• F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••
  left Mar 13, 2009, registered Mar 13, 2009 (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

STATE REGISTEREDderived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address