RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Oct 29, 2012 · Palm Beach, Fl
• P•• W••••• M••••••••• BD affiliated
  Jun 18, 2012 to Aug 22, 2012 · Alpharetta, Ga
• B••• I••••••••• S•••••••• I••• former
  May 25, 2007 to May 25, 2012 · Decatur, Ga
• W•••• F•••• A••••••• wirehouse
  Oct 10, 2006 to May 21, 2007 · Tucker, Ga
• T• A••••••••• I••• former
  May 28, 2003 to Feb 1, 2006 · Atlanta, Ga

• P•• W••••• M••••••••• to W•••• F•••• A•••••••
  left Aug 22, 2012, registered Oct 29, 2012 (68 days) · Other
• B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••
  left May 25, 2012, registered Jun 18, 2012 (24 days) · Other
• W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••
  left May 21, 2007, registered May 25, 2007 (4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
• T• A••••••••• I••• to W•••• F•••• A•••••••
  left Feb 1, 2006, registered Oct 10, 2006 (251 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

Wirehousederived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address