RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 22, 2010 · Baltimore, Md
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Jul 29, 2009 · Baltimore, Md
• C•••••••• G••••• M•••••• I••• BD affiliated
  Feb 21, 2006 to Jun 1, 2009 · Baltimore, Md
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Jul 21, 2000 to Feb 21, 2006 · Baltimore, Md

• M••••• S•••••• to L•• F•••••••• L••
  left Jul 29, 2009, registered Oct 22, 2010 (450 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address