RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since May 12, 2023 · Boca Raton, Fl
• S••••• F•••••••• G•••• I•• former
  Apr 16, 2013 to May 20, 2021 · Boca Raton, Fl
• C•••••••• F•••••••• G•••• A••••••• former
  Apr 10, 2008 to Apr 3, 2013 · Birmingham, Al
• W•••• F•••• A••••••• wirehouse
  May 31, 2002 to Oct 22, 2002 · Birmingham, Al
• A• G• E•••••• • S•••• I••• unclassified
  Dec 7, 1999 to May 31, 2002 · Birmingham, Al

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered May 12, 2023 (722 days) · corporate re-registration, not a move
• C•••••••• F•••••••• G•••• A••••••• to S••••• F•••••••• G•••• I••
  left Apr 3, 2013, registered Apr 16, 2013 (13 days) · Other
• W•••• F•••• A••••••• to C•••••••• F•••••••• G•••• A•••••••
  left Oct 22, 2002, registered Apr 10, 2008 (1997 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left May 31, 2002, registered May 31, 2002 (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