RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 1, 2026 · Fort Mill, Sc
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 17, 2011 to Feb 5, 2021 · St. Petersburg, Fl
• N•••••• G•••• S••••••••• I••• former
  May 14, 2009 to Jul 2, 2010 · Lake Mary, Fl
• N••••• F••• A•••••••• L•• asset manager
  Nov 30, 2004 to Jul 19, 2005 · Chicago, Il
• R•••••• J•••• • A••••••••• I••• national BD
  Sep 13, 2004 to Nov 23, 2004 · St. Petersburg, Fl

• R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
  left Feb 5, 2021, registered Jan 1, 2026 (1791 days) · Affiliated broker-dealer or bank to another · moved with a team
• N•••••• G•••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Jul 2, 2010, registered Feb 17, 2011 (230 days) · Other
• N••••• F••• A•••••••• L•• to N•••••• G•••• S••••••••• I•••
  left Jul 19, 2005, registered May 14, 2009 (1395 days) · Other
• R•••••• J•••• • A••••••••• I••• to N••••• F••• A•••••••• L••
  left Nov 23, 2004, registered Nov 30, 2004 (7 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address