RIA Intelligence

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Apr 17, 2019 · Atlanta, Ga
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Apr 24, 2019 · Atlanta, Ga
• M••••• K••••• • C••••••• L•• former
  Jan 26, 2007 to Feb 13, 2013 · Atlanta, Ga
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 3, 2002 to Feb 7, 2007 · Atlanta, Ga

• R•••••• J•••• • A••••••••• I••• to J••••• M••••••••• S•••• L••
  left Apr 24, 2019, registered Apr 17, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••
  left Feb 7, 2007, registered Jan 26, 2007 (-12 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address