RIA Intelligence

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Nov 11, 2019 · West Chester, Pa
• V••••••• A•••••••• I••• BD affiliated
  Aug 2, 2018 to Nov 11, 2019 · Malvern, Pa
• J••••• M••••••••• S•••• L•• BD affiliated
  Jan 13, 2014 to Jul 24, 2014 · West Chester, Pa
• A•• D••••••••• I••• unclassified
  May 20, 2005 to Jul 5, 2005 · Conshohocken, Pa
• R•••• A•••• M••••••••• L•• unclassified
  Jan 4, 1999 to Apr 8, 2005 · Conshohocken, Pa

• V••••••• A•••••••• I••• to J••••• M••••••••• S•••• L••
  left Nov 11, 2019, registered Nov 11, 2019 (0 days) · Affiliated broker-dealer or bank to another
• J••••• M••••••••• S•••• L•• to V••••••• A•••••••• I•••
  left Jul 24, 2014, registered Aug 2, 2018 (1470 days) · Other
• A•• D••••••••• I••• to J••••• M••••••••• S•••• L••
  left Jul 5, 2005, registered Jan 13, 2014 (3114 days) · Other
• R•••• A•••• M••••••••• L•• to A•• D••••••••• I•••
  left Apr 8, 2005, registered May 20, 2005 (42 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address