RIA Intelligence

• G••••• V••• C•••••• M••••••••• L•• independent RIA current
  since Jan 3, 2014 · Merrillville, In
• T•• S•••••••• F•••••••• A••••••• BD affiliated
  Nov 5, 2010 to Dec 31, 2013 · Merrillville, In
• I••••••••• A••••••• I••••••••• I••• unclassified
  Jul 7, 2006 to Nov 8, 2010 · Merrillville, In
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Sep 27, 2005 to Aug 21, 2006 · Merrillville, In

• T•• S•••••••• F•••••••• A••••••• to G••••• V••• C•••••• M••••••••• L••
  left Dec 31, 2013, registered Jan 3, 2014 (3 days) · corporate re-registration, not a move
• I••••••••• A••••••• I••••••••• I••• to T•• S•••••••• F•••••••• A•••••••
  left Nov 8, 2010, registered Nov 5, 2010 (-3 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••
  left Aug 21, 2006, registered Jul 7, 2006 (-45 days) · corporate re-registration, not a move

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

Independent wealth managerderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address