RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 23, 2021 · Northbrook, Il
• I•• W••••• M••••••••• L•• BD affiliated current
  since Nov 4, 2019 · Northfield, Il
• S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• former
  Aug 14, 2018 to Nov 14, 2019 · Northbrook, Il
• I••••••••• F•••••••• P••••••• BD affiliated
  Nov 9, 2016 to Dec 31, 2018 · Northbrook, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 10, 2005 to Nov 9, 2016 · Glenview, Il
• N•• A•••••• S•••••••• L•• former
  Apr 27, 2004 to Jan 28, 2005 · Naperville, Il

• S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to I•• W••••• M••••••••• L••
  left Nov 14, 2019, registered Nov 4, 2019 (-10 days) · Other
• I••••••••• F•••••••• P••••••• to S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••
  left Dec 31, 2018, registered Aug 14, 2018 (-139 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to I••••••••• F•••••••• P•••••••
  left Nov 9, 2016, registered Nov 9, 2016 (0 days) · Other
• N•• A•••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Jan 28, 2005, registered Feb 10, 2005 (13 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address