RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 19, 2024 · Venice, Fl
• W••••••• F•••••••• S•••••••• I••• former
  Mar 1, 2019 to Jan 19, 2024 · Frederick, Md
• Q•••••• A•••• M••••••••• I••• former
  Jul 13, 2015 to Mar 1, 2019 · Fredrick, Md
• O•••• F•• I••• former
  Nov 4, 2008 to Jul 17, 2015 · Frederick, Md
• M•• I•••••••• S•••••••• L•• BD affiliated
  Jul 21, 2006 to Oct 31, 2008 · Bethesda, Md
• T•• H•••• O• S••••••••• C•••••• unclassified
  Nov 19, 2004 to Jun 19, 2006 · Frederick, Md

• W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
• Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
  left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
• O•••• F•• I••• to Q•••••• A•••• M••••••••• I•••
  left Jul 17, 2015, registered Jul 13, 2015 (-4 days) · Other
• M•• I•••••••• S•••••••• L•• to O•••• F•• I•••
  left Oct 31, 2008, registered Nov 4, 2008 (4 days) · Other
• T•• H•••• O• S••••••••• C•••••• to M•• I•••••••• S•••••••• L••
  left Jun 19, 2006, registered Jul 21, 2006 (32 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