RIA Intelligence

• L•••••• W••••• M••••••••• state registered current
  since Dec 18, 2014 · Vincennes, In
• C••• L•• BD affiliated
  Oct 29, 2013 to Dec 15, 2014 · Vencenes, In
• D••••• W••••• M••••••••• unclassified
  Jul 22, 2013 to Sep 3, 2013 · Vincennes, In
• L•• F•••••••• L•• BD affiliated
  Jan 6, 2010 to Dec 18, 2014 · Princeton, In
• E••••• J•••• national BD
  Oct 31, 2006 to Feb 1, 2008 · Lawrenceville, Il
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 19, 2002 to Oct 10, 2002 · Indianapolis, In

• L•• F•••••••• L•• to D••••• W••••• M•••••••••
  left Dec 18, 2014, registered Jul 22, 2013 (-514 days) · Other
• C••• L•• to L•••••• W••••• M•••••••••
  left Dec 15, 2014, registered Dec 18, 2014 (3 days) · Other
• D••••• W••••• M••••••••• to C••• L••
  left Sep 3, 2013, registered Oct 29, 2013 (56 days) · Other
• E••••• J•••• to L•• F•••••••• L••
  left Feb 1, 2008, registered Jan 6, 2010 (705 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to E••••• J••••
  left Oct 10, 2002, registered Oct 31, 2006 (1482 days) · Affiliated broker-dealer or bank to another

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

STATE REGISTEREDderived

Years in industry

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address