RIA Intelligence

• S•••••• C•••••• A••••••• L•• BD affiliated current
  since Jul 31, 2026 · Skokie, Il
• J••• M••••• S••••••••• L•• wirehouse
  May 11, 2011 to Sep 18, 2020 · Chicago, Il
• C••••• S••••• S••••••••• •••• L•• former
  Apr 27, 2006 to May 13, 2011 · Chicago, Il
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jun 26, 2003 to May 2, 2006 · Winnetka, Il
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 16, 2001 to Mar 4, 2003 · Chicago, Il

• J••• M••••• S••••••••• L•• to S•••••• C•••••• A••••••• L••
  left Sep 18, 2020, registered Jul 31, 2026 (2142 days) · Wirehouse to affiliated broker-dealer or bank
• C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••
  left May 13, 2011, registered May 11, 2011 (-2 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• S••••• S••••••••• •••• L••
  left May 2, 2006, registered Apr 27, 2006 (-5 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Mar 4, 2003, registered Jun 26, 2003 (114 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address