RIA Intelligence

• P•• W••••• M••••••••• BD affiliated current
  since Jul 21, 2014 · Hagerstown, Md
• O•••• I••••••••• I••• BD affiliated
  Jun 1, 2008 to Jul 11, 2014 · Woodsboro, Md
• B• I••••••••• L•• unclassified
  May 23, 2006 to Jun 1, 2008 · Frederick, Md
• M••••• S•••••• D• I••• unclassified
  Oct 31, 2003 to Feb 23, 2005 · Hagerstown, Md
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Nov 3, 2000 to Nov 4, 2003 · Frederick, Md

• O•••• I••••••••• I••• to P•• W••••• M•••••••••
  left Jul 11, 2014, registered Jul 21, 2014 (10 days) · Other
• B• I••••••••• L•• to O•••• I••••••••• I•••
  left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to B• I••••••••• L••
  left Feb 23, 2005, registered May 23, 2006 (454 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••
  left Nov 4, 2003, registered Oct 31, 2003 (-4 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address