RIA Intelligence

• W••• S• L•• state registered current
  since Jan 24, 2020 · Wilmington, De
• C•••••• O•• A•••••••• L•• former
  May 29, 2015 to Aug 4, 2015 · Wilmington, De
• C•••••• P••••••• L•• unclassified
  Jun 8, 2012 to Jun 30, 2015 · Wilmington, De
• G••• W••••• M••••••••• L•• independent RIA
  Dec 21, 2010 to Jan 26, 2012 · Bear, De
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  May 30, 2003 to Oct 6, 2010 · Wilmington, De
• T• A••••••••• I••• former
  May 5, 2003 to May 19, 2003 · Wilmington, De

• C•••••• O•• A•••••••• L•• to W••• S• L••
  left Aug 4, 2015, registered Jan 24, 2020 (1634 days) · Other
• C•••••• P••••••• L•• to C•••••• O•• A•••••••• L••
  left Jun 30, 2015, registered May 29, 2015 (-32 days) · Other
• G••• W••••• M••••••••• L•• to C•••••• P••••••• L••
  left Jan 26, 2012, registered Jun 8, 2012 (134 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••• W••••• M••••••••• L••
  left Oct 6, 2010, registered Dec 21, 2010 (76 days) · Wirehouse to independent RIA
• T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left May 19, 2003, registered May 30, 2003 (11 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

STATE REGISTEREDderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address