RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 1, 2018 · Hollywood, Sc
• H••••••••• F•••••••• A••••••• BD affiliated
  Feb 1, 2017 to Feb 2, 2018 · Dover, Oh
• L•• F•••••••• L•• BD affiliated
  Sep 18, 2013 to Feb 1, 2017 · Dover, Oh
• F••••••••• A•••••••• I••• unclassified
  Jan 20, 2010 to Sep 18, 2013 · Massillon, Oh
• I••••• F•••••••• C••••••••• former
  Oct 13, 2005 to Jan 22, 2010 · Massillon, Oh
• P•••• S••••••••• L•• no RAUM
  Jun 21, 2002 to Jul 18, 2003 · Canfield, Oh

• H••••••••• F•••••••• A••••••• to L•• F•••••••• L••
  left Feb 2, 2018, registered Feb 1, 2018 (-1 days) · Other · moved with a team
• L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••
  left Feb 1, 2017, registered Feb 1, 2017 (0 days) · corporate re-registration, not a move
• F••••••••• A•••••••• I••• to L•• F•••••••• L••
  left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
• I••••• F•••••••• C••••••••• to F••••••••• A•••••••• I•••
  left Jan 22, 2010, registered Jan 20, 2010 (-2 days) · Other
• P•••• S••••••••• L•• to I••••• F•••••••• C•••••••••
  left Jul 18, 2003, registered Oct 13, 2005 (818 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