RIA Intelligence

• L•• • A••••••••• I•• independent RIA current
  since Nov 14, 2019 · Glen Echo, Md
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jul 31, 2019 to Sep 16, 2022 · Glen Echo, Md
• S••••••••• former
  Dec 21, 2007 to Oct 6, 2014 · Fulton, Md
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  May 24, 1999 to Nov 16, 2007 · Glen Echo, Md

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• • A••••••••• I••
  left Sep 16, 2022, registered Nov 14, 2019 (-1037 days) · Affiliated broker-dealer or bank to independent RIA
• S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Oct 6, 2014, registered Jul 31, 2019 (1759 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to S•••••••••
  left Nov 16, 2007, registered Dec 21, 2007 (35 days) · Other

• D••••• C•••••• A••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• • A••••••••• I•• (registered 2019-11-14)
  Sep 16, 2022 · Advisor changed firm · fact

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

Independent wealth managerderived

Years in industry

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address