RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Springfield, Oh
• S•• I••••••••• I••• former
  Dec 20, 2010 to Feb 15, 2018 · Springfield, Oh
• N••• F•••••••• G••••• I••• former
  May 17, 2006 to Dec 17, 2010 · Springfield, Oh
• N•• E•••••• S••••••••• C••••••••• former
  Jun 28, 2005 to Apr 17, 2006 · Springfield, Oh
• F•••••••• D•••••• • S•••••• C••• L•• unclassified
  Oct 12, 2004 to Jul 6, 2005 · Springfield, Oh

• S•• I••••••••• I••• to L•• F•••••••• L••
  left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•• I••••••••• I•••
  left Dec 17, 2010, registered Dec 20, 2010 (3 days) · Other
• N•• E•••••• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••
  left Apr 17, 2006, registered May 17, 2006 (30 days) · Other
• F•••••••• D•••••• • S•••••• C••• L•• to N•• E•••••• S••••••••• C•••••••••
  left Jul 6, 2005, registered Jun 28, 2005 (-8 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address