RIA Intelligence

• L•• E••••••••• L•• BD affiliated current
  since Nov 14, 2024 · Tampa, Fl
• P•••• S••••••••• L•• no RAUM
  Oct 28, 2019 to Nov 14, 2024 · Tampa, Fl
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Mar 23, 2012 to Oct 23, 2019 · Fulton, Md
• W•••• F•••• A••••••• wirehouse
  Mar 10, 2006 to Mar 23, 2012 · Fulton, Md
• W•••• F•••• A••••••• wirehouse
  Jul 16, 2003 to Mar 10, 2006 · Columbia, Md

• P•••• S••••••••• L•• to L•• E••••••••• L••
  left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•••• S••••••••• L••
  left Oct 23, 2019, registered Oct 28, 2019 (5 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Mar 23, 2012, registered Mar 23, 2012 (0 days) · Other
• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Mar 10, 2006, registered Mar 10, 2006 (0 days) · channel change inside one enterprise, 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address