RIA Intelligence

• K•••••• C•••••• M••••••••• independent RIA current
  since May 22, 2014 · Rockville, Md
• M••••• S•••••• wirehouse
  Jun 1, 2009 to May 27, 2014 · Bethesda, Md
• M••••• S•••••• • C•• L•• unclassified
  Nov 7, 2008 to Jun 1, 2009 · Bethesda, Md
• P••• A••••• S••••••••• L•• BD affiliated
  Apr 11, 2007 to Nov 5, 2008 · Chevy Chase, Md
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 12, 2001 to Apr 9, 2007 · Bethesda, Md

• M••••• S•••••• to K•••••• C•••••• M•••••••••
  left May 27, 2014, registered May 22, 2014 (-5 days) · Other
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• P••• A••••• S••••••••• L•• to M••••• S•••••• • C•• L••
  left Nov 5, 2008, registered Nov 7, 2008 (2 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
  left Apr 9, 2007, registered Apr 11, 2007 (2 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

Independent wealth managerderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address