RIA Intelligence

• S••••• F•••••••• G•••••• I••• state registered current
  since Jun 19, 2021 · Crozet, Va
• A• W••••• M••••••••• L•• BD affiliated
  May 6, 2021 to Jun 17, 2021 · Crozet, Va
• A• W••••• M••••••••• L•• BD affiliated
  May 8, 2019 to May 4, 2021 · Crozet, Va
• B••• S••••••••• L•• former
  Jan 2, 2018 to Dec 14, 2018 · Charlottesville, Va
• B••• I••••••••• S•••••••• I••• former
  Mar 22, 2004 to Jan 2, 2018 · Afton, Va
• E•••••••• A•••••••• L•• national BD
  Oct 8, 2002 to Dec 9, 2003 · Research Triangle, Nc

• A• W••••• M••••••••• L•• to S••••• F•••••••• G•••••• I•••
  left Jun 17, 2021, registered Jun 19, 2021 (2 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
• B••• S••••••••• L•• to A• W••••• M••••••••• L••
  left Dec 14, 2018, registered May 8, 2019 (145 days) · Affiliated broker-dealer or bank to independent RIA
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••
  left Dec 9, 2003, registered Mar 22, 2004 (104 days) · Affiliated broker-dealer or bank to a newly registered adviser

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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address