RIA Intelligence

• S••••• A••••••• I••• BD affiliated current
  since Jan 30, 2015 · Birmingham, Al
• S••••• A••• I••••••••• A•••••• S•••••••• I••• former
  Jun 29, 2012 to Jan 30, 2015 · Clermont, Fl
• B••••••••• L•• former
  Jan 31, 2009 to Jun 29, 2012 · Boca Raton, Fl
• W•••• F•••• A••••••• wirehouse
  Jan 23, 2007 to Jan 12, 2009 · Orlando, Fl
• T• A••••••••• I••• former
  Jun 29, 2004 to Dec 4, 2006 · Orlando, Fl

• S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••
  left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
• B••••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••
  left Jun 29, 2012, registered Jun 29, 2012 (0 days) · Other
• W•••• F•••• A••••••• to B••••••••• L••
  left Jan 12, 2009, registered Jan 31, 2009 (19 days) · Other
• T• A••••••••• I••• to W•••• F•••• A•••••••
  left Dec 4, 2006, registered Jan 23, 2007 (50 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address