RIA Intelligence

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Apr 4, 2020 · Lynchburg, Va
• J•••• R•••• A••••••• unclassified
  Apr 19, 2016 to Apr 3, 2020 · Lynchburg, Va
• T•••• A•••••••• L•• former
  Dec 10, 2012 to Apr 18, 2016 · Atlanta, Ga
• W•••• F•••• A••••••• wirehouse
  Apr 8, 2003 to Feb 3, 2006 · Brookneal, Va
• R•• C•••••• M••••••• L•• national BD
  May 1, 2002 to Apr 4, 2003 · Forest, Va

• J•••• R•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Apr 3, 2020, registered Apr 4, 2020 (1 days) · Other · moved with a team
• T•••• A•••••••• L•• to J•••• R•••• A•••••••
  left Apr 18, 2016, registered Apr 19, 2016 (1 days) · Other
• W•••• F•••• A••••••• to T•••• A•••••••• L••
  left Feb 3, 2006, registered Dec 10, 2012 (2502 days) · Other
• R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
  left Apr 4, 2003, registered Apr 8, 2003 (4 days) · Affiliated broker-dealer or bank to wirehouse

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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address