RIA Intelligence

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Sep 30, 2015 · Birmingham, Al
• R•• A•••••••• L•• independent RIA
  Mar 14, 2014 to Sep 18, 2015 · Vestavia H•••S, Al
• L•• F•••••••• L•• BD affiliated
  Apr 7, 2006 to Aug 11, 2015 · Vestavia, Al
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Nov 14, 2003 to Apr 11, 2006 · Birmingham, Al
• C•••••••• F•••••••• G•••• A••••••• former
  Feb 13, 2003 to Nov 5, 2003 · Birmingham, Al

• R•• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Sep 18, 2015, registered Sep 30, 2015 (12 days) · Other
• L•• F•••••••• L•• to R•• A•••••••• L••
  left Aug 11, 2015, registered Mar 14, 2014 (-515 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
  left Apr 11, 2006, registered Apr 7, 2006 (-4 days) · Other
• C•••••••• F•••••••• G•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
  left Nov 5, 2003, registered Nov 14, 2003 (9 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