RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since May 3, 2022 · Chicago, Il
• W•••• F•••• A••••••• wirehouse
  Jun 21, 2011 to May 4, 2022 · Minneapolis, Mn
• J••• M••••• S••••••••• L•• wirehouse
  Jan 22, 2009 to Mar 25, 2011 · Highland Park, Il
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jan 27, 2005 to Sep 10, 2007 · Chicago, Il
• B••• O•• S••••••••• C••••••••• unclassified
  Jul 17, 2002 to Sep 18, 2003 · Chicago, Il

• W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••
  left May 4, 2022, registered May 3, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Mar 25, 2011, registered Jun 21, 2011 (88 days) · Wirehouse to wirehouse
• B••• O• A•••••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
  left Sep 10, 2007, registered Jan 22, 2009 (500 days) · Other
• B••• O•• S••••••••• C••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Sep 18, 2003, registered Jan 27, 2005 (497 days) · Other

• C••••••••• S•••• S•••••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2022-05-03)
  May 4, 2022 · Advisor changed firm · fact

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