RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Mar 29, 2021 · Austin, Tx
• S•••••• N••••••• • C••••••• I••••••••• national BD
  May 23, 2012 to Apr 12, 2021 · Naperville, Il
• R•••••• J•••• • A••••••••• I••• national BD
  May 31, 2011 to May 24, 2012 · Chicago, Il
• H••• B••••• C•••••• M••••••••• I••• unclassified
  May 31, 2005 to Dec 31, 2011 · Chicago, Il
• M••••• S•••••• D• I••• unclassified
  Nov 14, 2001 to Jun 2, 2005 · Chicago, Il

• S•••••• N••••••• • C••••••• I••••••••• to K••••• A••••••• S•••••••• L••
  left Apr 12, 2021, registered Mar 29, 2021 (-14 days) · Affiliated broker-dealer or bank to another
• R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left May 24, 2012, registered May 23, 2012 (-1 days) · Affiliated broker-dealer or bank to another
• H••• B••••• C•••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Dec 31, 2011, registered May 31, 2011 (-214 days) · Other
• M••••• S•••••• D• I••• to H••• B••••• C•••••• M••••••••• I•••
  left Jun 2, 2005, registered May 31, 2005 (-2 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