RIA Intelligence

• H•••••••• A•••••••• L•• BD affiliated current
  since Dec 10, 2021 · Chicago, Il
• B••••••• W••••• M••••••••• L•• former
  Oct 3, 2019 to Dec 10, 2021 · Alpharetta, Ga
• R•••••• W••••• M••••••••• L•• former
  Nov 4, 2008 to Dec 31, 2019 · Alpharetta, Ga
• N•••••• F•••••••• A•••••••• L•• unclassified
  Jul 16, 2003 to Dec 31, 2008 · Alpharetta, Ga
• T•••• A•••••••• L•• former
  Jan 24, 2003 to Jul 22, 2003 · Alpharetta, Ga

• B••••••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••
  left Dec 10, 2021, registered Dec 10, 2021 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
• R•••••• W••••• M••••••••• L•• to B••••••• W••••• M••••••••• L••
  left Dec 31, 2019, registered Oct 3, 2019 (-89 days) · RIA to a newly registered adviser · moved with a team
• N•••••• F•••••••• A•••••••• L•• to R•••••• W••••• M••••••••• L••
  left Dec 31, 2008, registered Nov 4, 2008 (-57 days) · Other
• T•••• A•••••••• L•• to N•••••• F•••••••• A•••••••• L••
  left Jul 22, 2003, registered Jul 16, 2003 (-6 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