RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 16, 2025 · Gastonia, Nc
• I• A••••••• S•••••••• I••• former
  Jul 21, 2010 to Jan 14, 2025 · Hendersonville, Nc
• N••• F•••••••• G••••• I••• former
  Mar 7, 2003 to Jul 20, 2010 · Hendersonville, Nc
• F•• A••••••• S••••••• I•• unclassified
  May 17, 1999 to Mar 31, 2003 · Naples, Nc

• I• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Jan 14, 2025, registered Jan 16, 2025 (2 days) · Affiliated broker-dealer or bank to another
• N••• F•••••••• G••••• I••• to I• A••••••• S•••••••• I•••
  left Jul 20, 2010, registered Jul 21, 2010 (1 days) · Other
• F•• A••••••• S••••••• I•• to N••• F•••••••• G••••• I•••
  left Mar 31, 2003, registered Mar 7, 2003 (-24 days) · Other

• S••••• R•• S••••••••• left I• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2025-01-16)
  Jan 14, 2025 · Advisor changed firm · fact

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