RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Oct 5, 2018 · Greensboro, Nc
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Oct 9, 2018 · Greensboro, Nc
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Apr 13, 2007 to Oct 23, 2009 · Greensboro, Nc
• W•••• F•••• A••••••• wirehouse
  Jul 14, 2004 to Apr 16, 2007 · Columbia, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Apr 15, 2002 to Jul 23, 2004 · Greensboro, Nc

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••
  left Oct 9, 2018, registered Oct 5, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Apr 16, 2007, registered Apr 13, 2007 (-3 days) · Other
• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Jul 23, 2004, registered Jul 14, 2004 (-9 days) · Wirehouse to wirehouse

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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address