RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Troy, Oh
• W•••••• • R••• former
  Sep 22, 2017 to Jul 21, 2021 · Charleroi, Pa
• U••• B•••••• I••••••••• I••• former
  Mar 25, 2005 to Sep 26, 2017 · Minster, Oh
• W•••• F•••• I••••••••• L•• unclassified
  May 15, 2001 to Mar 4, 2005 · Gilroy, Ca

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• U••• B•••••• I••••••••• I••• to W•••••• • R•••
  left Sep 26, 2017, registered Sep 22, 2017 (-4 days) · Other
• W•••• F•••• I••••••••• L•• to U••• B•••••• I••••••••• I•••
  left Mar 4, 2005, registered Mar 25, 2005 (21 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