L•• D••• G•••

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 1, 2012 · Lexington, Ky
• C•••• I••••••••• S••••••• C•••• former
  Jun 30, 2009 to Oct 1, 2012 · Lexington, Ky
• W••••••• F•••••••• S•••••••• I••• former
  Jan 5, 2007 to Jun 23, 2009 · Louisville, Ky
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jun 25, 2003 to Jan 31, 2007 · Lexington, Ky
• C•••••• L•• independent RIA
  Apr 9, 2003 to Jun 25, 2003 · Lexington, Ky

• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W••••••• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Jun 23, 2009, registered Jun 30, 2009 (7 days) · Other
• A••••••••• A•••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
  left Jan 31, 2007, registered Jan 5, 2007 (-26 days) · Other
• C•••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Jun 25, 2003, registered Jun 25, 2003 (0 days) · corporate re-registration, 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

Wirehousederived

Years in industry

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address