RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Nov 16, 2018 · Austin, Tx
• M•• A••••••• former
  May 2, 2014 to May 7, 2019 · Louisville, Ky
• L•• F•••••••• L•• BD affiliated
  Feb 1, 2005 to Dec 3, 2015 · Louisville, Ky
• M••• S••••••••• C••••••••• unclassified
  Dec 2, 2003 to Jan 13, 2005 · Louisville, Ky
• T•••••• S••••••••• A••••••• C•••• unclassified
  Oct 25, 2002 to Dec 2, 2003 · Louisville, Ky
• 1•• G••••• A••••••• I•• former
  Feb 13, 2002 to Oct 16, 2002 · Louisville, Ky

• M•• A••••••• to K••••• A••••••• S•••••••• L••
  left May 7, 2019, registered Nov 16, 2018 (-172 days) · RIA to affiliated broker-dealer or bank · moved with a team
• L•• F•••••••• L•• to M•• A•••••••
  left Dec 3, 2015, registered May 2, 2014 (-580 days) · Other · moved with a team
• M••• S••••••••• C••••••••• to L•• F•••••••• L••
  left Jan 13, 2005, registered Feb 1, 2005 (19 days) · Other
• T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••
  left Dec 2, 2003, registered Dec 2, 2003 (0 days) · Other
• 1•• G••••• A••••••• I•• to T•••••• S••••••••• A••••••• C••••
  left Oct 16, 2002, registered Oct 25, 2002 (9 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

27derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address