RIA Intelligence

• R••••• W• B•••• • C•• I••••••••• mixed wealth current
  since Oct 18, 2019 · Louisville, Ky
• J••••• H•••••••• W••• L••••• L•• former
  May 1, 2013 to Oct 18, 2019 · Louisville, Ky
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 2, 2009 to May 2, 2013 · Louisville, Ky
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Jun 11, 2002 to Jan 2, 2009 · Louisville, Ky

• J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••
  left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••••• H•••••••• W••• L••••• L••
  left May 2, 2013, registered May 1, 2013 (-1 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 2, 2009, registered Jan 2, 2009 (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

Wealth manager with institutional or fund businessderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address