RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Feb 13, 2018 · Indianapolis, In
• E•••••••• A•••••••• L•• national BD
  Mar 22, 2012 to Feb 20, 2018 · Indianapolis, In
• E•••••••• A•••••••• L•• national BD
  Apr 19, 2011 to Mar 12, 2012 · Indianapolis, In
• E•••••••• A•••••••• L•• national BD
  Nov 15, 1999 to Mar 31, 2011 · Carmel, In

• E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Feb 20, 2018, registered Feb 13, 2018 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team

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

National broker-dealer RIAderived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address