RIA Intelligence

• P•••••• A•••••• G••••• L•• BD affiliated current
  since Aug 31, 2021 · Springfield, Il
• L•••• F••• A••••••• S••••••• BD affiliated
  May 17, 2016 to Aug 27, 2021 · Springfield, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Aug 28, 2007 to May 19, 2016 · Peoria, Il
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Sep 6, 2007 · Springfield, Il
• M••••• S•••••• D• I••• unclassified
  Jun 10, 2005 to Apr 2, 2007 · Springfield, Il
• B••• O•• S••••••••• C••••••••• unclassified
  Jun 10, 2003 to May 25, 2005 · Springfield, Il

• L•••• F••• A••••••• S••••••• to P•••••• A•••••• G••••• L••
  left Aug 27, 2021, registered Aug 31, 2021 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to L•••• F••• A••••••• S•••••••
  left May 19, 2016, registered May 17, 2016 (-2 days) · Other
• M••••• S•••••• • C•• L•• to A••••••••• F•••••••• S•••••••• L••
  left Sep 6, 2007, registered Aug 28, 2007 (-9 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• B••• O•• S••••••••• C••••••••• to M••••• S•••••• D• I•••
  left May 25, 2005, registered Jun 10, 2005 (16 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address