RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Jul 23, 2014 · Winston-Salem, Nc
• L•• F•••••••• L•• BD affiliated
  Dec 9, 2008 to Aug 28, 2012 · Winston Salem, Nc
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Oct 18, 2007 · Winston-Salem, Nc
• M••••• S•••••• D• I••• unclassified
  Sep 21, 2006 to Apr 2, 2007 · Winston-Salem, Nc
• L•• F•••••••• L•• BD affiliated
  Nov 29, 2004 to Mar 9, 2005 · Abingdon, Va
• B••• I••••••••• S•••••••• I••• former
  Feb 19, 2003 to Mar 31, 2004 · Charlotte, Nc

• L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••
  left Aug 28, 2012, registered Jul 23, 2014 (694 days) · Other
• M••••• S•••••• • C•• L•• to L•• F•••••••• L••
  left Oct 18, 2007, registered Dec 9, 2008 (418 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to M••••• S•••••• D• I•••
  left Mar 9, 2005, registered Sep 21, 2006 (561 days) · Other
• B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
  left Mar 31, 2004, registered Nov 29, 2004 (243 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

Wirehousederived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address