H•••• J•••• P•••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Oct 7, 2016 · Mclean, Va
• W•••• F•••• A••••••• wirehouse
  Feb 20, 2009 to Jul 7, 2016 · Mclean, Va
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Feb 27, 2009 · Alexandria, Va
• Q•••• • R•••••• I••• unclassified
  Aug 27, 2002 to Oct 20, 2004 · Mclean, Va

• W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
  left Jul 7, 2016, registered Oct 7, 2016 (92 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
• B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
  left Feb 27, 2009, registered Feb 20, 2009 (-7 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address