RIA Intelligence

• C••••••• P••••••• independent RIA current
  since Jan 13, 2014 · Seneca, Sc
• L•• F•••••••• L•• BD affiliated
  Sep 8, 2009 to Aug 9, 2010 · Leawood, Ks
• W••••••••• F•••••••• G••••• I••• unclassified
  Dec 9, 2004 to Sep 8, 2009 · Boston, Ma
• H•••••• F••••••••• I••• unclassified
  Jul 9, 2002 to Aug 9, 2010 · Overland Park, Ks
• R••••••••• R•••••••• I••• state registered
  Jan 16, 1997 to Dec 31, 2002 · Overland Park, Ks

• H•••••• F••••••••• I••• to W••••••••• F•••••••• G••••• I•••
  left Aug 9, 2010, registered Dec 9, 2004 (-2069 days) · Other
• L•• F•••••••• L•• to C••••••• P•••••••
  left Aug 9, 2010, registered Jan 13, 2014 (1253 days) · Other
• W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••
  left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
• R••••••••• R•••••••• I••• to H•••••• F••••••••• I•••
  left Dec 31, 2002, registered Jul 9, 2002 (-175 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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address