RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Pittsburgh, Pa
• V•••••• F•••••••• G••••• I••• independent RIA current
  since Apr 28, 2011 · Cleveland, Oh
• W••••• S••••• S••••••••• I••• former
  Jul 19, 2007 to Sep 3, 2013 · Pittsburgh, Pa
• W••••• S••••• A••••••• I•• unclassified
  Apr 23, 2003 to Nov 2, 2006 · Pittsburg, Pa
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Nov 5, 2001 to Mar 5, 2003 · Century City, Ca

• W••••• S••••• S••••••••• I••• to V•••••• F•••••••• G••••• I•••
  left Sep 3, 2013, registered Apr 28, 2011 (-859 days) · Other
• W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••
  left Nov 2, 2006, registered Jul 19, 2007 (259 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• S••••• A••••••• I••
  left Mar 5, 2003, registered Apr 23, 2003 (49 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