D•••• T• S•••••

• C••••••••• F•••••••• N•••••• national BD current
  since Jul 9, 2025 · Wilmington, De
• O•••• W•••••• I••• BD affiliated
  Jan 19, 2024 to Jul 14, 2025 · Wilmington, De
• W••••••• F•••••••• S•••••••• I••• former
  Nov 20, 2009 to Jan 19, 2024 · Wilmington, De
• H•••••• T••••••• • K•••• L•• independent RIA
  Nov 17, 2004 to Dec 3, 2009 · Wilmington, De

• O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
  left Jul 14, 2025, registered Jul 9, 2025 (-5 days) · Affiliated broker-dealer or bank to another
• W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
• H•••••• T••••••• • K•••• L•• to W••••••• F•••••••• S•••••••• I•••
  left Dec 3, 2009, registered Nov 20, 2009 (-13 days) · Other

• ••• Locked
  Jul 14, 2025 · 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

National broker-dealer RIAderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address