RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 9, 2020 · Downers Grove, Il
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Mar 17, 2020 · Willowbrook, Il
• C•••• I••••••••• S••••••• C•••• former
  Jul 6, 2005 to Oct 1, 2012 · Willowbrook, Il
• B••• O•• S••••••••• C••••••••• unclassified
  Jul 30, 2002 to Jul 6, 2005 · Willowbrook, Il
• G•••• L•••• A•••••••• L•• other
  Jan 2, 2002 to Jul 19, 2002 · Chicago, Il

• J••• M••••• S••••••••• L•• to L•• F•••••••• L••
  left Mar 17, 2020, registered Mar 9, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank · 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
• 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
• G•••• L•••• A•••••••• L•• to B••• O•• S••••••••• C•••••••••
  left Jul 19, 2002, registered Jul 30, 2002 (11 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

Broker-dealer affiliated wealth managerderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address