RIA Intelligence

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Jul 17, 2020 · Philadelphia, Pa
• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
  Mar 14, 2019 to Apr 3, 2020 · Boca Raton, Fl
• W•••• F•••• A••••••• wirehouse
  Dec 17, 2009 to Jul 27, 2018 · Jacksonville, Fl
• M••••• S•••••• D• I••• unclassified
  May 16, 2003 to May 19, 2003 · Rockaway, Ny

• C•••••••• I••••••••• R••••••• A•••••••• I••• to J••••• M••••••••• S•••• L••
  left Apr 3, 2020, registered Jul 17, 2020 (105 days) · Affiliated broker-dealer or bank to another
• W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jul 27, 2018, registered Mar 14, 2019 (230 days) · Wirehouse to affiliated broker-dealer or bank
• M••••• S•••••• D• I••• to W•••• F•••• A•••••••
  left May 19, 2003, registered Dec 17, 2009 (2404 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address