RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Aug 4, 2022 · Atlanta, Ga
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jan 16, 2019 to Jul 9, 2021 · Ft. Lauderdale, Fl
• C•• A•••• M••••••••• G•••• independent RIA
  Dec 16, 2015 to Sep 20, 2016 · Naples, Fl
• S•• W••••• independent RIA
  Jan 22, 2015 to Dec 16, 2015 · Naples, Fl
• B••••• P•••••••• L•• former
  May 11, 2010 to Nov 26, 2014 · Nales, Fl
• S•••••••• A••••••• L•• national BD
  Jan 17, 2001 to Mar 29, 2010 · Naples, Fl

• F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
  left Jul 9, 2021, registered Aug 4, 2022 (391 days) · Affiliated broker-dealer or bank to wirehouse
• C•• A•••• M••••••••• G•••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Sep 20, 2016, registered Jan 16, 2019 (848 days) · Other
• S•• W••••• to C•• A•••• M••••••••• G••••
  left Dec 16, 2015, registered Dec 16, 2015 (0 days) · Other
• B••••• P•••••••• L•• to S•• W•••••
  left Nov 26, 2014, registered Jan 22, 2015 (57 days) · corporate re-registration, not a move
• S•••••••• A••••••• L•• to B••••• P•••••••• L••
  left Mar 29, 2010, registered May 11, 2010 (43 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

Wirehousederived

Years in industry

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address