RIA Intelligence

• R•••••• J•••• • A••••••••• I••• national BD current
  since May 25, 2021 · New Port Richey, Fl
• M••••• S•••••• wirehouse
  Dec 18, 2017 to Jun 3, 2021 · Tampa, Fl
• H••••••• F•••• asset manager
  Mar 13, 2015 to Aug 11, 2017 · Tampa, Fl
• H••••••• F•••• asset manager
  Nov 10, 2014 to Dec 31, 2014 · Tampa, Fl
• P••••••• A••••••• L•• asset manager
  Jul 31, 2014 to Dec 4, 2014 · Bethesda, Md
• C••••••••• I••••••••• L•• mixed wealth
  Mar 15, 2006 to Apr 11, 2014 · Tampa, Fl
• C•••••••• G••••• M•••••• I••• BD affiliated
  Mar 26, 2003 to Dec 21, 2005 · Tampa, Fl

• M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
  left Jun 3, 2021, registered May 25, 2021 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• H••••••• F•••• to M••••• S••••••
  left Aug 11, 2017, registered Dec 18, 2017 (129 days) · Other
• P••••••• A••••••• L•• to H••••••• F••••
  left Dec 4, 2014, registered Nov 10, 2014 (-24 days) · Other
• C••••••••• I••••••••• L•• to P••••••• A••••••• L••
  left Apr 11, 2014, registered Jul 31, 2014 (111 days) · Other
• C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
  left Dec 21, 2005, registered Mar 15, 2006 (84 days) · corporate re-registration, not a move

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

National broker-dealer RIAderived

Years in industry

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address