RIA Intelligence

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Sep 8, 2020 · Frederick, Md
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 24, 2009 to Sep 10, 2020 · Frederick, Md
• C•••••••• G••••• M•••••• I••• BD affiliated
  Feb 21, 2006 to May 14, 2009 · Gaithersburg, Md
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Aug 16, 2000 to Feb 21, 2006 · Gaithersburg, Md

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A••••••• S•••••••• L••
  left Sep 10, 2020, registered Sep 8, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left May 14, 2009, registered Apr 24, 2009 (-20 days) · Other
• L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Feb 21, 2006, registered Feb 21, 2006 (0 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

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