RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 9, 2017 · Fort Meade, Md
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 22, 2016 to May 31, 2017 · Timonium, Md
• N•• A•••••• S•••••••• L•• former
  Jan 5, 2016 to Sep 22, 2016 · Timonium, Md
• L•• F•••••••• L•• BD affiliated
  Apr 16, 2008 to Dec 7, 2015 · Hanover, Md
• E•• F•••••••• A••••••• independent RIA
  Apr 21, 2003 to Jan 5, 2006 · Bethesda, Md

• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left May 31, 2017, registered Jun 9, 2017 (9 days) · Other
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 22, 2016 (-153 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to N•• A•••••• S•••••••• L••
  left Dec 7, 2015, registered Jan 5, 2016 (29 days) · Other
• E•• F•••••••• A••••••• to L•• F•••••••• L••
  left Jan 5, 2006, registered Apr 16, 2008 (832 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