RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Beachwood, Oh
• S•••••••• F••••••••• I••• former
  Feb 20, 2019 to Sep 1, 2023 · Beachwood, Oh
• C••••• A•••••• N••••••• L•• former
  Jan 13, 2015 to Feb 15, 2019 · Chardon, Oh
• O•••• F•• I••• former
  Apr 26, 2013 to Dec 3, 2014 · Orange Village, Oh
• M•• I•••••••• S•••••••• L•• BD affiliated
  Aug 14, 2007 to May 1, 2013 · Cleveland, Oh

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• C••••• A•••••• N••••••• L•• to S•••••••• F••••••••• I•••
  left Feb 15, 2019, registered Feb 20, 2019 (5 days) · Affiliated broker-dealer or bank to another
• O•••• F•• I••• to C••••• A•••••• N••••••• L••
  left Dec 3, 2014, registered Jan 13, 2015 (41 days) · Other
• M•• I•••••••• S•••••••• L•• to O•••• F•• I•••
  left May 1, 2013, registered Apr 26, 2013 (-5 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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address