RIA Intelligence

• H•••••• I••••••••• I••• independent RIA current
  since Feb 8, 2012 · Eaton, Oh
• W•••• F•••• A••••••• wirehouse
  Oct 7, 2009 to Jan 30, 2012 · Dayton, Oh
• F•••• T•••• S••••••••• I••• BD affiliated
  Feb 5, 2007 to Oct 5, 2009 · Troy, Oh
• U••• B•••••• I••••••••• I••• former
  Mar 23, 2005 to Mar 31, 2006 · Piqua, Oh

• W•••• F•••• A••••••• to H•••••• I••••••••• I•••
  left Jan 30, 2012, registered Feb 8, 2012 (9 days) · Other
• F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••
  left Oct 5, 2009, registered Oct 7, 2009 (2 days) · Other
• U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••
  left Mar 31, 2006, registered Feb 5, 2007 (311 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

Independent wealth managerderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address