RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Greenville, Sc
• B••• S••••••••• L•• former
  Jan 30, 2015 to Feb 17, 2021 · Greenville, Sc
• F•••• C••••••• A•••• M••••••••• I•• BD affiliated
  Jul 31, 2012 to Jan 2, 2015 · Raleigh, Nc
• B••• I••••••••• S•••••••• I••• former
  Apr 10, 2006 to Apr 11, 2012 · Charlotte, Nc
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 20, 2005 to Mar 16, 2006 · Spartanburg, Sc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• F•••• C••••••• A•••• M••••••••• I•• to B••• S••••••••• L••
  left Jan 2, 2015, registered Jan 30, 2015 (28 days) · Other
• B••• I••••••••• S•••••••• I••• to F•••• C••••••• A•••• M••••••••• I••
  left Apr 11, 2012, registered Jul 31, 2012 (111 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to B••• I••••••••• S•••••••• I•••
  left Mar 16, 2006, registered Apr 10, 2006 (25 days) · Affiliated broker-dealer or bank to a newly registered adviser

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