RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 31, 2012 · Marriottsville, Md
• P•••••• A•••••• G••••• L•• BD affiliated
  Dec 13, 2011 to Aug 29, 2012 · W•••Bine, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 17, 2007 to Dec 19, 2011 · Baltimore, Md
• C•••••••• G••••• M•••••• I••• BD affiliated
  Feb 21, 2006 to Aug 22, 2007 · Baltimore, Md
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Jan 11, 2002 to Feb 21, 2006 · Baltimore, Md

• P•••••• A•••••• G••••• L•• to L•• F•••••••• L••
  left Aug 29, 2012, registered May 31, 2012 (-90 days) · Other
• U•• F•••••••• S••••••• I••• to P•••••• A•••••• G••••• L••
  left Dec 19, 2011, registered Dec 13, 2011 (-6 days) · Other
• C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
  left Aug 22, 2007, registered Aug 17, 2007 (-5 days) · Other
• L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Feb 21, 2006, registered Feb 21, 2006 (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

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address