RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Aug 21, 2019 · Gaithersburg, Md
• M•• I•••••••• S•••••••• L•• BD affiliated
  Apr 14, 2014 to Aug 26, 2019 · Rockville, Md
• N•• A•••••• S•••••••• L•• former
  Apr 22, 2008 to Sep 21, 2012 · Baltimore, Md
• O•••• F•• I••• former
  Oct 14, 2002 to Apr 9, 2008 · Bethesda, Md
• T•• A••••••• G••••• I••• unclassified
  Oct 31, 2001 to Oct 16, 2002 · Bethesda, Md

• M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Aug 26, 2019, registered Aug 21, 2019 (-5 days) · Affiliated broker-dealer or bank to another
• N•• A•••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
  left Sep 21, 2012, registered Apr 14, 2014 (570 days) · Other
• O•••• F•• I••• to N•• A•••••• S•••••••• L••
  left Apr 9, 2008, registered Apr 22, 2008 (13 days) · Other
• T•• A••••••• G••••• I••• to O•••• F•• I•••
  left Oct 16, 2002, registered Oct 14, 2002 (-2 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address