RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Raleigh, Nc
• O•••• F•• I••• former
  Jul 31, 2019 to Jan 24, 2025 · Raleigh, Nc
• S••••••••• A•••••• A•••••••• I••• former
  May 20, 2016 to Jul 31, 2019 · Cary, Nc
• W••••••• F•••••••• S•••••••• I••• former
  Aug 22, 2006 to May 25, 2016 · Raleigh, Nc

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• S••••••••• A•••••• A•••••••• I••• to O•••• F•• I•••
  left Jul 31, 2019, registered Jul 31, 2019 (0 days) · Affiliated broker-dealer or bank to another
• W••••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
  left May 25, 2016, registered May 20, 2016 (-5 days) · Other · moved with a team

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