RIA Intelligence

• A••••••• F••••• W•••••• L•• independent RIA current
  since Sep 16, 2014 · Coral Gables, Fl
• L•• F•••••••• L•• BD affiliated current
  since Nov 16, 2009 · Coral Gables, Fl
• B••••••• C•••••• I••• former
  Jan 22, 2009 to Nov 24, 2009 · Miami, Fl
• L••••• B••••••• I••• unclassified
  Nov 6, 2003 to Oct 15, 2008 · Miami, Fl
• M••••• S•••••• • C•• L•• unclassified
  Nov 24, 1999 to Oct 14, 2002 · Miami, Fl

• B••••••• C•••••• I••• to L•• F•••••••• L••
  left Nov 24, 2009, registered Nov 16, 2009 (-8 days) · Other
• L••••• B••••••• I••• to B••••••• C•••••• I•••
  left Oct 15, 2008, registered Jan 22, 2009 (99 days) · corporate re-registration, not a move
• M••••• S•••••• • C•• L•• to L••••• B••••••• I•••
  left Oct 14, 2002, registered Nov 6, 2003 (388 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

Independent wealth managerderived

Years in industry

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address