RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 12, 2023 · Newark, De
• B••• S••••••••• L•• former
  Jan 2, 2018 to Feb 1, 2018 · Baltimore, Md
• B••• I••••••••• S•••••••• I••• former
  Sep 25, 2015 to Jan 2, 2018 · Charlotte, Nc
• V••••• F•••• A•••• M••••••••• L•• former
  Jun 11, 2014 to Aug 3, 2015 · Hunt V•••••, Md
• P•• W••••• M••••••••• BD affiliated
  Dec 4, 2012 to Apr 29, 2014 · Bel Air, Md

• B••• S••••••••• L•• to J••• M••••• S••••••••• L••
  left Feb 1, 2018, registered Oct 12, 2023 (2079 days) · Other
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• V••••• F•••• A•••• M••••••••• L•• to B••• I••••••••• S•••••••• I•••
  left Aug 3, 2015, registered Sep 25, 2015 (53 days) · channel change inside one enterprise, not a move · moved with a team
• P•• W••••• M••••••••• to V••••• F•••• A•••• M••••••••• L••
  left Apr 29, 2014, registered Jun 11, 2014 (43 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

Wirehousederived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address