RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · Carmel, In
• S••••••• I••••••••• I••• former
  May 13, 2016 to Nov 2, 2018 · Carmel, In
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Mar 30, 2004 to May 13, 2016 · Carmel, In
• I••••••••• A••••••• G•••• C••• former
  Dec 14, 2001 to Mar 29, 2004 · Carmel, In
• O•••• F•• I••• former
  Sep 18, 2001 to Mar 31, 2004 · Carmel, In

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
  left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
• O•••• F•• I••• to I••••••••• A••••••• G•••• C•••
  left Mar 31, 2004, registered Dec 14, 2001 (-838 days) · Other
• I••••••••• A••••••• G•••• C••• to T••••••••• F•••••••• A•••••••• L••
  left Mar 29, 2004, registered Mar 30, 2004 (1 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