RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 8, 2014 · Clarion, Pa
• P•• W••••• M••••••••• BD affiliated
  Aug 27, 2013 to Sep 22, 2014 · Clarion, Pa
• L•• F•••••••• L•• BD affiliated
  Feb 16, 2010 to Aug 15, 2013 · Clarion, Pa
• P•••• S••••••••• L•• no RAUM
  Apr 7, 2009 to Jul 23, 2009 · Dubois, Pa
• I••••••••• P••••••••• I••• former
  Sep 26, 2007 to Oct 1, 2008 · San Antonio, Tx

• P•• W••••• M••••••••• to L•• F•••••••• L••
  left Sep 22, 2014, registered Oct 8, 2014 (16 days) · Other
• L•• F•••••••• L•• to P•• W••••• M•••••••••
  left Aug 15, 2013, registered Aug 27, 2013 (12 days) · Other
• P•••• S••••••••• L•• to L•• F•••••••• L••
  left Jul 23, 2009, registered Feb 16, 2010 (208 days) · Other
• I••••••••• P••••••••• I••• to P•••• S••••••••• L••
  left Oct 1, 2008, registered Apr 7, 2009 (188 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address