RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 1, 2021 · Harrisburg, Pa
• P•• W••••• M••••••••• BD affiliated
  Apr 17, 2018 to Jun 2, 2021 · Wayne, Pa
• P•••••••• S••••••••• I••• BD affiliated
  Aug 16, 2006 to Apr 3, 2018 · King Of Prussia, Pa
• C••• F•••••••• S•••••••• L••• former
  Aug 16, 2005 to Jul 10, 2006 · Malvern, Pa

• P•• W••••• M••••••••• to L•• F•••••••• L••
  left Jun 2, 2021, registered Jun 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another
• P•••••••• S••••••••• I••• to P•• W••••• M•••••••••
  left Apr 3, 2018, registered Apr 17, 2018 (14 days) · Affiliated broker-dealer or bank to another
• C••• F•••••••• S•••••••• L••• to P•••••••• S••••••••• I•••
  left Jul 10, 2006, registered Aug 16, 2006 (37 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