RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Oct 21, 2024 · Fort Mill, Sc
• T••••• A••••••• S•••••••• I••• BD affiliated
  Nov 16, 2020 to Dec 15, 2023 · Charlotte, Nc
• B••• S••••••••• L•• former
  Jan 2, 2018 to Feb 17, 2021 · Washington, Dc
• B••• I••••••••• S•••••••• I••• former
  Apr 17, 2008 to Jan 2, 2018 · Charlotte, Nc
• B••• A•••• M••••••••• I••• unclassified
  Jan 7, 2005 to May 9, 2008 · Winston-Salem, Nc

• T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Dec 15, 2023, registered Oct 21, 2024 (311 days) · Affiliated broker-dealer or bank to another · moved with a team
• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Nov 16, 2020 (-93 days) · corporate re-registration, not a move
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••
  left May 9, 2008, registered Apr 17, 2008 (-22 days) · Other

• L•• C••••••••• left T••••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-10-21)
  Dec 15, 2023 · 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

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address