RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Sep 9, 2016 · Leesburg, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Apr 5, 2010 · Leesburg, Fl
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Aug 25, 2006 to Oct 23, 2009 · Leesburg, Fl
• M••••• S•••••• D• I••• unclassified
  Dec 22, 2000 to Aug 28, 2006 · Port Richey, Fl

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••
  left Apr 5, 2010, registered Sep 9, 2016 (2349 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Aug 28, 2006, registered Aug 25, 2006 (-3 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