RIA Intelligence

• M••••• S•••••• wirehouse current
  since Feb 2, 2015 · Louisville, Ky
• J••• M••••• S••••••••• L•• wirehouse
  Jun 30, 2009 to May 15, 2012 · Louisville, Ky
• W•••• F•••• A••••••• wirehouse
  Jun 4, 2008 to Jun 4, 2009 · St. Louis, Mo
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Apr 23, 2008 · Purchase, Ny
• M••••• S•••••• D• I••• unclassified
  Jan 10, 2002 to Apr 2, 2007 · Purchase, Ny

• J••• M••••• S••••••••• L•• to M••••• S••••••
  left May 15, 2012, registered Feb 2, 2015 (993 days) · Wirehouse to wirehouse
• W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
  left Jun 4, 2009, registered Jun 30, 2009 (26 days) · Wirehouse to wirehouse
• M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••
  left Apr 23, 2008, registered Jun 4, 2008 (42 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

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

Wirehousederived

Years in industry

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address