RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 10, 2025 · Union Grove, Nc
• N••• F•••••••• G••••• I••• former
  Jan 22, 2015 to Jul 10, 2025 · Houston, Tx
• L•• F•••••••• L•• BD affiliated
  Jan 19, 2007 to Feb 2, 2015 · Davidson, Nc
• P•••• S••••••••• L•• no RAUM
  Dec 31, 2001 to Jan 23, 2007 · Huntersville, Nc

• N••• F•••••••• G••••• I••• to L•• F•••••••• L••
  left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to N••• F•••••••• G••••• I•••
  left Feb 2, 2015, registered Jan 22, 2015 (-11 days) · Other
• P•••• S••••••••• L•• to L•• F•••••••• L••
  left Jan 23, 2007, registered Jan 19, 2007 (-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