RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · North Royalton, Oh
• S••••••• I••••••••• I••• former
  May 13, 2016 to Nov 2, 2018 · Charleston, Sc
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  May 20, 2005 to May 13, 2016 · North Royalton, Oh
• V•••••• F•••••••• G••••• I••• independent RIA
  Jun 21, 2002 to Jan 3, 2005 · Cleveland, Oh
• W••••• S••••• A••••••• I•• unclassified
  Sep 4, 2001 to Dec 31, 2003 · Independence, Oh

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
  left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
• V•••••• F•••••••• G••••• I••• to T••••••••• F•••••••• A•••••••• L••
  left Jan 3, 2005, registered May 20, 2005 (137 days) · Other
• W••••• S••••• A••••••• I•• to V•••••• F•••••••• G••••• I•••
  left Dec 31, 2003, registered Jun 21, 2002 (-558 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