RIA Intelligence

• A••••••• F•••••••• A•••••••• L•• BD affiliated current
  since Mar 11, 2022 · Pooler, Ga
• N••••••••• I••••••••• A•••••••• L•• BD affiliated
  Apr 20, 2011 to Jul 19, 2021 · Columbus, Oh
• O•••• I••••••••• I••• BD affiliated
  Jun 1, 2008 to Mar 25, 2011 · Blacksburg, Va
• B• I••••••••• L•• unclassified
  Apr 14, 2005 to Jun 1, 2008 · Blacksburg, Va
• L•••••• I••••••••• independent RIA
  Jan 31, 2005 to Feb 24, 2005 · Charlottesville, Va
• C••••••••• F•••••••• N•••••• national BD
  Apr 3, 2003 to Jun 28, 2004 · Roanoke, Va

• N••••••••• I••••••••• A•••••••• L•• to A••••••• F•••••••• A•••••••• L••
  left Jul 19, 2021, registered Mar 11, 2022 (235 days) · Affiliated broker-dealer or bank to another
• O•••• I••••••••• I••• to N••••••••• I••••••••• A•••••••• L••
  left Mar 25, 2011, registered Apr 20, 2011 (26 days) · Other
• B• I••••••••• L•• to O•••• I••••••••• I•••
  left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
• L•••••• I••••••••• to B• I••••••••• L••
  left Feb 24, 2005, registered Apr 14, 2005 (49 days) · Other
• C••••••••• F•••••••• N•••••• to L•••••• I•••••••••
  left Jun 28, 2004, registered Jan 31, 2005 (217 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