RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Sep 20, 2021 · Warrenton, Va
• L•• F•••••••• L•• BD affiliated
  Dec 6, 2018 to Oct 15, 2021 · Warrenton, Va
• L•• F•••••••• L•• BD affiliated
  Feb 26, 2013 to Nov 15, 2018 · Middleburg, Va
• O•••• I••••••••• I••• BD affiliated
  Jun 1, 2008 to Feb 28, 2013 · Middleburg, Va
• B• I••••••••• L•• unclassified
  Jul 30, 2003 to Jun 1, 2008 · Middleburg, Va
• M••••• S•••••• D• I••• unclassified
  Oct 24, 2002 to Jun 12, 2003 · Washington, Dc

• L•• F•••••••• L•• to W•••• F•••• A•••••••
  left Oct 15, 2021, registered Sep 20, 2021 (-25 days) · Affiliated broker-dealer or bank to wirehouse
• O•••• I••••••••• I••• to L•• F•••••••• L••
  left Feb 28, 2013, registered Feb 26, 2013 (-2 days) · Other
• B• I••••••••• L•• to O•••• I••••••••• I•••
  left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to B• I••••••••• L••
  left Jun 12, 2003, registered Jul 30, 2003 (48 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