RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 23, 2025 · Northfield, Il
• G•••• L•••• A•••••••• L•• other
  Oct 3, 2005 to Dec 31, 2006 · Chicago, Il
• W••••••• I••••••••• former
  Oct 3, 2005 to Jan 23, 2025 · Northfield, Il
• C•••• I••••••••• S••••••• C•••• former
  Jul 6, 2005 to Oct 4, 2005 · Chicago, Il
• B••• O•• S••••••••• C••••••••• unclassified
  May 19, 2003 to Jul 6, 2005 · Wilmette, Il
• W•••• F•••• A••••••• wirehouse
  Nov 12, 2002 to May 15, 2003 · Deerfield, Il

• W••••••• I••••••••• to L•• F•••••••• L••
  left Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
• G•••• L•••• A•••••••• L•• to W••••••• I•••••••••
  left Dec 31, 2006, registered Oct 3, 2005 (-454 days) · Other
• C•••• I••••••••• S••••••• C•••• to G•••• L•••• A•••••••• L••
  left Oct 4, 2005, registered Oct 3, 2005 (-1 days) · Other
• B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
  left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• O•• S••••••••• C•••••••••
  left May 15, 2003, registered May 19, 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address