RIA Intelligence

• P•• W••••• M••••••••• BD affiliated current
  since May 24, 2016 · Kitty Hawk, Nc
• O•••• I••••••••• I••• BD affiliated
  Jun 1, 2008 to Feb 29, 2016 · Kitty Hawk, Nc
• B• I••••••••• L•• unclassified
  Jan 30, 2004 to Jun 1, 2008 · Norfolk, Va
• U•• F•••••••• S••••••• I••• wirehouse
  Jun 12, 2002 to Feb 3, 2004 · Virginia Beach, Va

• O•••• I••••••••• I••• to P•• W••••• M•••••••••
  left Feb 29, 2016, registered May 24, 2016 (85 days) · Other
• B• I••••••••• L•• to O•••• I••••••••• I•••
  left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to B• I••••••••• L••
  left Feb 3, 2004, registered Jan 30, 2004 (-4 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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address