RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Sep 2, 2020 · Wayne, Pa
• B••• S••••••••• L•• former
  Jul 18, 2018 to Feb 17, 2021 · King Of Prussia, Pa
• W•••• F•••• A••••••• wirehouse
  Feb 20, 2009 to Jul 23, 2018 · Radnor, Pa
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jan 6, 2006 to Feb 23, 2009 · Philadelphia, Pa
• P•• W••••• M••••••••• BD affiliated
  Jan 1, 2004 to Jan 12, 2006 · Philadelphia, Pa
• J••••• H•••••••• W••• L••••• L•• former
  Sep 10, 2002 to Jan 1, 2004 · Philadelphia, Pa

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Sep 2, 2020 (-168 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• S••••••••• L••
  left Jul 23, 2018, registered Jul 18, 2018 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
  left Feb 23, 2009, registered Feb 20, 2009 (-3 days) · Other
• P•• W••••• M••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Jan 12, 2006, registered Jan 6, 2006 (-6 days) · Other
• J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••
  left Jan 1, 2004, registered Jan 1, 2004 (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

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