K•••••• S••••• M•••••••

• M••••••• G•••• D••••••• L•• state registered current
  since Dec 9, 2010 · Sweet Home, Tx
• S•• M••••••• A•••• M••••••••• state registered
  Jul 30, 2008 to Nov 16, 2010 · St. M•••••••, Md
• W•••• F•••• A••••••• wirehouse
  Aug 29, 2002 to Jul 29, 2008 · Wilmington, De
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 24, 1997 to Aug 15, 2002 · Wilmington, De

• S•• M••••••• A•••• M••••••••• to M••••••• G•••• D••••••• L••
  left Nov 16, 2010, registered Dec 9, 2010 (23 days) · Other
• W•••• F•••• A••••••• to S•• M••••••• A•••• M•••••••••
  left Jul 29, 2008, registered Jul 30, 2008 (1 days) · Wirehouse to a state-registered adviser
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
  left Aug 15, 2002, registered Aug 29, 2002 (14 days) · Wirehouse to wirehouse

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

STATE REGISTEREDderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address