RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 10, 2023 · Shippenville, Pa
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jul 17, 2015 to Oct 12, 2023 · Shippenville, Pa
• I••••••••• P••••••••• I••• former
  Dec 9, 2009 to Aug 3, 2015 · San Antonio, Tx
• C••••• A•••••• N••••••• L•• former
  Oct 28, 2005 to Dec 10, 2009 · El Segundo, Ca
• B••• V••• S••••••••• L•• unclassified
  Jun 5, 2002 to Oct 28, 2005 · Emlenton, Pa

• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Oct 12, 2023, registered Oct 10, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Aug 3, 2015, registered Jul 17, 2015 (-17 days) · Other
• C••••• A•••••• N••••••• L•• to I••••••••• P••••••••• I•••
  left Dec 10, 2009, registered Dec 9, 2009 (-1 days) · Other
• B••• V••• S••••••••• L•• to C••••• A•••••• N••••••• L••
  left Oct 28, 2005, registered Oct 28, 2005 (0 days) · Other

• M•••••• P••• B••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-10-10)
  Oct 12, 2023 · a•••••• firm change · 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