RIA Intelligence

• T•••••••• A••••••• G••••• I••• BD affiliated current
  since Jul 5, 2019 · Greensburg, Pa
• I••••••• F•••••••• S••••••• unclassified
  Mar 9, 2017 to Mar 5, 2019 · Oakland, Ca
• L•• F•••••••• L•• BD affiliated
  Dec 18, 2003 to Mar 23, 2017 · Chicago, Il
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Dec 18, 2003 · Chicago, Il
• P••••••••• E••••• G••••• L•• unclassified
  Jan 4, 1998 to Jul 1, 2003 · Chicago, Il

• I••••••• F•••••••• S••••••• to T•••••••• A••••••• G••••• I•••
  left Mar 5, 2019, registered Jul 5, 2019 (122 days) · Other
• L•• F•••••••• L•• to I••••••• F•••••••• S•••••••
  left Mar 23, 2017, registered Mar 9, 2017 (-14 days) · Other
• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Dec 18, 2003, registered Dec 18, 2003 (0 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address