RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 26, 2021 · San Diego, Ca
• G•••• P•••• A•••••••• L•• former
  Apr 1, 2021 to Oct 27, 2021 · Rockville, Md
• H• B•••• I••• former
  Feb 23, 2011 to Apr 1, 2021 · Elm G••••, Wi
• Q•• F•••••••• L•• unclassified
  Mar 7, 2007 to Feb 11, 2011 · Pleasant Prairie, Wi
• U••••• S••••••••• A•••••••• I••• unclassified
  May 10, 2001 to Feb 28, 2007 · Bristol, Wi

• G•••• P•••• A•••••••• L•• to L•• F•••••••• L••
  left Oct 27, 2021, registered Oct 26, 2021 (-1 days) · Affiliated broker-dealer or bank to another
• H• B•••• I••• to G•••• P•••• A•••••••• L••
  left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
• Q•• F•••••••• L•• to H• B•••• I•••
  left Feb 11, 2011, registered Feb 23, 2011 (12 days) · Other
• U••••• S••••••••• A•••••••• I••• to Q•• F•••••••• L••
  left Feb 28, 2007, registered Mar 7, 2007 (7 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