RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 9, 2023 · Santa Monica, Ca
• B• R•••• W••••• A•••••••• I••• BD affiliated
  Apr 30, 2014 to Jan 11, 2023 · Lombard, Il
• O••••••••• • C•• I••• BD affiliated
  Jul 28, 2006 to Apr 24, 2014 · Chicago, Il
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jun 30, 2003 to Aug 1, 2006 · Oakbrook Terrace, Il
• C•••••• L•• independent RIA
  Oct 7, 2002 to Jul 9, 2003 · Oakbrook Terrace, Il

• B• R•••• W••••• A•••••••• I••• to L•• F•••••••• L••
  left Jan 11, 2023, registered Jan 9, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
• O••••••••• • C•• I••• to B• R•••• W••••• A•••••••• I•••
  left Apr 24, 2014, registered Apr 30, 2014 (6 days) · Other
• A••••••••• A•••••• S•••••••• I••• to O••••••••• • C•• I•••
  left Aug 1, 2006, registered Jul 28, 2006 (-4 days) · Other
• C•••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Jul 9, 2003, registered Jun 30, 2003 (-9 days) · corporate re-registration, not a move

• M•••••• G•••••• B•••• left B• R•••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-01-09)
  Jan 11, 2023 · a•••••• firm change · fact

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