RIA Intelligence

• R•••• W••••• M••••••••• L•• state registered current
  since Mar 23, 2023 · Mount Juliet, Tn
• K••••• A••••••• S•••••••• L•• BD affiliated
  Nov 4, 2016 to May 31, 2023 · Drexel Hill, Pa
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 21, 2011 to Nov 4, 2016 · Conshohocken, Pa
• W•••• F•••• A••••••• wirehouse
  Jan 21, 2004 to Oct 24, 2011 · Wayne, Pa

• K••••• A••••••• S•••••••• L•• to R•••• W••••• M••••••••• L••
  left May 31, 2023, registered Mar 23, 2023 (-69 days) · Affiliated broker-dealer or bank to a state-registered adviser
• A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Nov 4, 2016, registered Nov 4, 2016 (0 days) · Other
• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 24, 2011, registered Oct 21, 2011 (-3 days) · Wirehouse to affiliated broker-dealer or bank

• A••••• E••••• R•••• left K••••• A••••••• S•••••••• L•• for R•••• W••••• M••••••••• L•• (registered 2023-03-23)
  May 31, 2023 · 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

STATE REGISTEREDderived

Years in industry

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address