RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 8, 2020 · Hollywood, Fl
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 28, 2016 to Dec 9, 2020 · Hollywood, Fl
• N•• A•••••• S•••••••• L•• former
  Aug 10, 2005 to Sep 22, 2016 · Hollywood, Fl
• A••••••••• A•••••• S•••••••• I••• unclassified
  Oct 21, 2003 to Jul 21, 2005 · Fort Lauderdale, Fl
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Oct 23, 2003 · Fort Lauderdale, Fl
• P••••••••• E••••• G••••• L•• unclassified
  Apr 2, 2003 to Jul 1, 2003 · Ft Lauderdale, Fl

• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left Dec 9, 2020, registered Dec 8, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 28, 2016 (-147 days) · corporate re-registration, not a move
• A••••••••• A•••••• S•••••••• I••• to N•• A•••••• S•••••••• L••
  left Jul 21, 2005, registered Aug 10, 2005 (20 days) · Other
• W•••• F•••• A••••••• to A••••••••• A•••••• S•••••••• I•••
  left Oct 23, 2003, registered Oct 21, 2003 (-2 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 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

Broker-dealer affiliated wealth managerderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address