RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 2, 2009 · Indianapolis, In
• W•••••••• W••••• M••••••••• L•• former
  Mar 18, 2008 to Jul 2, 2009 · Indianapolis, In
• R•••••• J•••• • A••••••••• I••• national BD
  Jun 2, 2004 to Mar 18, 2008 · Greenwood, In
• S••••• C•••••• M••••••••• I•• unclassified
  Feb 19, 2003 to Mar 3, 2004 · Indianapolis, In
• C•••••• S••••• • C••• I••• national BD
  Mar 28, 2002 to Oct 21, 2002 · Carmel, In

• W•••••••• W••••• M••••••••• L•• to L•• F•••••••• L••
  left Jul 2, 2009, registered Jun 2, 2009 (-30 days) · Other
• R•••••• J•••• • A••••••••• I••• to W•••••••• W••••• M••••••••• L••
  left Mar 18, 2008, registered Mar 18, 2008 (0 days) · Affiliated broker-dealer or bank to independent RIA
• S••••• C•••••• M••••••••• I•• to R•••••• J•••• • A••••••••• I•••
  left Mar 3, 2004, registered Jun 2, 2004 (91 days) · Other
• C•••••• S••••• • C••• I••• to S••••• C•••••• M••••••••• I••
  left Oct 21, 2002, registered Feb 19, 2003 (121 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address