RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Dec 24, 2021 · Hampstead, Nc
• W•• B•••••••• S•••••••• I••• BD affiliated
  Jul 26, 2019 to Oct 19, 2021 · Raleigh, Nc
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Dec 18, 2015 to Jul 16, 2019 · Richmond, Va
• B••• I••••••••• S•••••••• I••• former
  May 15, 2006 to Oct 15, 2015 · Charlotte, Nc
• A• G• E•••••• • S•••• I••• unclassified
  Nov 25, 2004 to Apr 18, 2006 · Danville, Va

• W•• B•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
  left Oct 19, 2021, registered Dec 24, 2021 (66 days) · Affiliated broker-dealer or bank to wirehouse
• V•••• F•••••••• A•••••••• I••• to W•• B•••••••• S•••••••• I•••
  left Jul 16, 2019, registered Jul 26, 2019 (10 days) · Affiliated broker-dealer or bank to a newly registered adviser
• B••• I••••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••
  left Oct 15, 2015, registered Dec 18, 2015 (64 days) · Other
• A• G• E•••••• • S•••• I••• to B••• I••••••••• S•••••••• I•••
  left Apr 18, 2006, registered May 15, 2006 (27 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

Wirehousederived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address