RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 5, 2015 · Swartz Creek, Mi
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jan 8, 2015 · Vernon, Mi
• C•••• I••••••••• S••••••• C•••• former
  Mar 30, 2010 to Oct 1, 2012 · Vernon, Mi
• F•••• T•••• S••••••••• I••• BD affiliated
  May 22, 2009 to Feb 25, 2010 · Saginaw, Mi
• C•••• I••••••••• S••••••• C•••• former
  Jul 6, 2005 to May 5, 2009 · Swartz Creek, Mi
• B••• O•• S••••••••• C••••••••• unclassified
  Mar 27, 2003 to Jul 6, 2005 · Flushing, Mi

• J••• M••••• S••••••••• L•• to L•• F•••••••• L••
  left Jan 8, 2015, registered Jan 5, 2015 (-3 days) · Other · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• F•••• T•••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Feb 25, 2010, registered Mar 30, 2010 (33 days) · Other
• C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••
  left May 5, 2009, registered May 22, 2009 (17 days) · Other
• B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
  left Jul 6, 2005, registered Jul 6, 2005 (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