RIA Intelligence

• W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
  since May 15, 2020 · Plymouth, Mn
• J••• A•••••••• I••• former
  Oct 19, 2015 to Apr 30, 2020 · Atlanta, Ga
• N•• A•••••• S•••••••• L•• former
  Jun 3, 2005 to Sep 1, 2015 · Atlanta, Ga
• T•• B•••••• C••••••• I••• unclassified
  Apr 9, 2003 to Oct 21, 2005 · Atlanta, Ga
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 31, 2003 to Jun 2, 2005 · Atlanta, Ga

• J••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••
  left Apr 30, 2020, registered May 15, 2020 (15 days) · RIA to affiliated broker-dealer or bank · moved with a team
• N•• A•••••• S•••••••• L•• to J••• A•••••••• I•••
  left Sep 1, 2015, registered Oct 19, 2015 (48 days) · Other
• T•• B•••••• C••••••• I••• to N•• A•••••• S•••••••• L••
  left Oct 21, 2005, registered Jun 3, 2005 (-140 days) · Other
• M•• I•••••••• S•••••••• L•• to T•• B•••••• C••••••• I•••
  left Jun 2, 2005, registered Apr 9, 2003 (-785 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

Broker-dealer affiliated wealth managerderived

Years in industry

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address