RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 4, 2014 · Pinecrest, Fl
• W•••• F•••• A••••••• wirehouse
  Nov 28, 2005 to Feb 14, 2013 · Miami, Fl
• I••• S••••••••• I••• unclassified
  May 3, 2004 to Oct 24, 2005 · South Miami, Fl
• E•••• N••••••• S••••••••• I••• former
  Feb 19, 2003 to Apr 30, 2004 · Miami, Fl
• E•••••••• A•••••••• L•• national BD
  Feb 25, 1998 to Feb 18, 2003 · Miami, Fl

• W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••
  left Feb 14, 2013, registered Mar 4, 2014 (383 days) · Other
• I••• S••••••••• I••• to W•••• F•••• A•••••••
  left Oct 24, 2005, registered Nov 28, 2005 (35 days) · Other
• E•••• N••••••• S••••••••• I••• to I••• S••••••••• I•••
  left Apr 30, 2004, registered May 3, 2004 (3 days) · Other
• E•••••••• A•••••••• L•• to E•••• N••••••• S••••••••• I•••
  left Feb 18, 2003, registered Feb 19, 2003 (1 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