RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Aug 9, 2019 · Miamisburg, Oh
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Aug 12, 2019 · Centerville, Oh
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 30, 2009 to Jun 1, 2009 · Centerville, Oh
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Apr 20, 2009 · Dayton, Oh
• P••••••••• E••••• G••••• L•• unclassified
  Oct 5, 2000 to Jul 1, 2003 · Dayton, Oh

• M••••• S•••••• to U•• F•••••••• S••••••• I•••
  left Aug 12, 2019, registered Aug 9, 2019 (-3 days) · Wirehouse to wirehouse
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
  left Apr 20, 2009, registered Apr 30, 2009 (10 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

Wirehousederived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address