RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Nov 10, 2022 · Decatur, Al
• W•••• F•••• A••••••• wirehouse
  Feb 15, 2019 to Nov 9, 2022 · Florence, Al
• M••••• S•••••• wirehouse
  Jun 29, 2011 to Feb 19, 2019 · Decatur, Al
• M••••• K••••• • C••••••• L•• former
  Feb 13, 2007 to Jul 11, 2011 · Florence, Al
• A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
  Jul 10, 2003 to Feb 20, 2007 · Birmingham, Al
• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 19, 2003 to Sep 8, 2003 · Florence, Al

• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Nov 9, 2022, registered Nov 10, 2022 (1 days) · channel change inside one enterprise, not a move · moved with a team
• M••••• S•••••• to W•••• F•••• A•••••••
  left Feb 19, 2019, registered Feb 15, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
• M••••• K••••• • C••••••• L•• to M••••• S••••••
  left Jul 11, 2011, registered Jun 29, 2011 (-12 days) · Other
• A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••
  left Feb 20, 2007, registered Feb 13, 2007 (-7 days) · corporate re-registration, not a move
• A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••
  left Sep 8, 2003, registered Jul 10, 2003 (-60 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address