RIA Intelligence

• W•••• I••••••••• A•••••••• L•• other current
  since Jan 3, 2018 · Cleves, Oh
• K••••• A••••••• S•••••••• L•• BD affiliated
  May 11, 2016 to Jan 2, 2018 · Covington, Ky
• N•• A•••••• S•••••••• L•• former
  Feb 4, 2016 to May 11, 2016 · Austin, Tx
• W••••••••• R••••••••• A••••••• institutional
  Jul 18, 2012 to May 10, 2016 · Covington, Ky
• K•••••• C•••••• M•••••• I••• unclassified
  Oct 15, 1999 to Dec 6, 2005 · Cincinnati, Oh

• K••••• A••••••• S•••••••• L•• to W•••• I••••••••• A•••••••• L••
  left Jan 2, 2018, registered Jan 3, 2018 (1 days) · Other
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left May 11, 2016, registered May 11, 2016 (0 days) · Other
• W••••••••• R••••••••• A••••••• to N•• A•••••• S•••••••• L••
  left May 10, 2016, registered Feb 4, 2016 (-96 days) · Other
• K•••••• C•••••• M•••••• I••• to W••••••••• R••••••••• A•••••••
  left Dec 6, 2005, registered Jul 18, 2012 (2416 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

Other adviserderived

Years in industry

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address