RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Richmond, Va
• B••• S••••••••• L•• former
  Oct 12, 2017 to Feb 17, 2021 · Richmond, Va
• R•••••• J•••• • A••••••••• I••• national BD
  Dec 2, 2011 to Oct 11, 2017 · Richmond, Va
• W•••• F•••• A••••••• wirehouse
  Mar 29, 2004 to Dec 5, 2011 · Richmond, Va
• S•••• • S••••••••• L•• former
  May 29, 1997 to Feb 19, 2004 · Richmond, Va

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• R•••••• J•••• • A••••••••• I••• to B••• S••••••••• L••
  left Oct 11, 2017, registered Oct 12, 2017 (1 days) · Other
• W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
  left Dec 5, 2011, registered Dec 2, 2011 (-3 days) · Wirehouse to affiliated broker-dealer or bank
• S•••• • S••••••••• L•• to W•••• F•••• A•••••••
  left Feb 19, 2004, registered Mar 29, 2004 (39 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