RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Oct 1, 2018 · Oklahoma City, Ok
• J••• M••••• S••••••••• L•• wirehouse
  Oct 20, 2014 to Oct 12, 2018 · Edmond, Ok
• M•••••••• A••••••• G••••• L•• former
  May 5, 2006 to Jul 16, 2014 · Wilmington, De
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jun 26, 2003 to May 8, 2006 · Wilmington, De
• 1••• C•••••• M••••••••• C•••••• unclassified
  Feb 28, 2002 to Aug 30, 2002 · Newark, De

• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Oct 12, 2018, registered Oct 1, 2018 (-11 days) · Wirehouse to wirehouse
• M•••••••• A••••••• G••••• L•• to J••• M••••• S••••••••• L••
  left Jul 16, 2014, registered Oct 20, 2014 (96 days) · Other
• A••••••••• A•••••• S•••••••• I••• to M•••••••• A••••••• G••••• L••
  left May 8, 2006, registered May 5, 2006 (-3 days) · Other
• 1••• C•••••• M••••••••• C•••••• to A••••••••• A•••••• S•••••••• I•••
  left Aug 30, 2002, registered Jun 26, 2003 (300 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

Wirehousederived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address