RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Cleveland, Ga
• I••••• F•••••••• C••••••••• former
  Jul 27, 2009 to Feb 14, 2018 · Helen, Ga
• F•••• L••••• S••••••••• L•• unclassified
  Aug 8, 2007 to Jul 23, 2009 · Cleveland, Ga
• C••• F•••••••• A••••••• former
  Jul 19, 2004 to Aug 10, 2007 · Cleveland, Ga
• L•• F•••••••• L•• BD affiliated
  Apr 14, 2003 to Jul 19, 2004 · Cleveland, Ga

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
• F•••• L••••• S••••••••• L•• to I••••• F•••••••• C•••••••••
  left Jul 23, 2009, registered Jul 27, 2009 (4 days) · Other
• C••• F•••••••• A••••••• to F•••• L••••• S••••••••• L••
  left Aug 10, 2007, registered Aug 8, 2007 (-2 days) · Other
• L•• F•••••••• L•• to C••• F•••••••• A•••••••
  left Jul 19, 2004, registered Jul 19, 2004 (0 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