RIA Intelligence

• U•• F•••••••• S••••••• I••• wirehouse current
  since Mar 4, 2013 · Hunt Valley, Md
• H•••••• S••••••••• I••• BD affiliated
  Sep 18, 2009 to Nov 6, 2012 · Dallas, Tx
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Mar 6, 2009 · Bellevue, Wa
• M••••• S•••••• D• I••• unclassified
  Jun 2, 2004 to Apr 2, 2007 · Bellevue, Wa

• H•••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••
  left Nov 6, 2012, registered Mar 4, 2013 (118 days) · Other
• M••••• S•••••• • C•• L•• to H•••••• S••••••••• I•••
  left Mar 6, 2009, registered Sep 18, 2009 (196 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

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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address