RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Nov 9, 2023 · Bowling Green, Ky
• L•••• F••• A••••••• S••••••• BD affiliated
  Sep 9, 2014 to Oct 31, 2023 · Bowling Green, Ky
• 1•• G••••• A••••••• I•• former
  May 26, 2006 to Sep 4, 2014 · Bowling Green, Ky
• W••••• M••••••••• I••• unclassified
  Jun 11, 2004 to Aug 20, 2010 · Bowling Green , Ky
• 1•• G••••• A••••••• I•• former
  Jan 16, 2004 to Jul 6, 2004 · Bowling Green, Ky

• L•••• F••• A••••••• S••••••• to L•• F•••••••• L••
  left Oct 31, 2023, registered Nov 9, 2023 (9 days) · Affiliated broker-dealer or bank to another
• 1•• G••••• A••••••• I•• to L•••• F••• A••••••• S•••••••
  left Sep 4, 2014, registered Sep 9, 2014 (5 days) · Other
• W••••• M••••••••• I••• to 1•• G••••• A••••••• I••
  left Aug 20, 2010, registered May 26, 2006 (-1547 days) · Other
• 1•• G••••• A••••••• I•• to W••••• M••••••••• I•••
  left Jul 6, 2004, registered Jun 11, 2004 (-25 days) · Other

• K•••• D••• C••••• left L•••• F••• A••••••• S••••••• for L•• F•••••••• L•• (registered 2023-11-09)
  Oct 31, 2023 · Advisor changed firm · fact

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