RIA Intelligence

• T••• W••••• S••••••• state registered current
  since Sep 30, 2019 · Carmel, In
• T•• F•••••••• J••••••• former
  Mar 18, 2016 to Oct 2, 2019 · Carmel, In
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Apr 25, 2007 to Mar 29, 2016 · Carmel, In
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Apr 19, 2005 to Apr 11, 2007 · Carmel, In
• N•••••••• F•••••••• S••••••• I•• independent RIA
  Feb 18, 2002 to Sep 8, 2005 · Indianapolis, In

• T•• F•••••••• J••••••• to T••• W••••• S•••••••
  left Oct 2, 2019, registered Sep 30, 2019 (-2 days) · Other
• T••••••••• F•••••••• A•••••••• L•• to T•• F•••••••• J•••••••
  left Mar 29, 2016, registered Mar 18, 2016 (-11 days) · Other
• V•••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••
  left Apr 11, 2007, registered Apr 25, 2007 (14 days) · Other
• N•••••••• F•••••••• S••••••• I•• to V•••• F•••••••• A•••••••• I•••
  left Sep 8, 2005, registered Apr 19, 2005 (-142 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

STATE REGISTEREDderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address