RIA Intelligence

• N••••••• F•••••••• S•••••••• L•• independent RIA current
  since Nov 21, 2016 · Johns Creek, Ga
• L•• F•••••••• L•• BD affiliated
  Feb 22, 2012 to Aug 19, 2019 · Johns Creek, Ga
• Q•••••• A•••• M••••••••• I••• former
  Jan 22, 2008 to Jan 24, 2012 · Minneapolis, Mn
• N•• A•••••• S•••••••• L•• former
  Dec 14, 2005 to Nov 28, 2007 · Roswell, Ga
• 1••• C•••••• M••••••••• C•••••• unclassified
  Sep 27, 2004 to Dec 17, 2005 · Atlanta , Ga

• L•• F•••••••• L•• to N••••••• F•••••••• S•••••••• L••
  left Aug 19, 2019, registered Nov 21, 2016 (-1001 days) · Affiliated broker-dealer or bank to independent RIA
• Q•••••• A•••• M••••••••• I••• to L•• F•••••••• L••
  left Jan 24, 2012, registered Feb 22, 2012 (29 days) · Other
• N•• A•••••• S•••••••• L•• to Q•••••• A•••• M••••••••• I•••
  left Nov 28, 2007, registered Jan 22, 2008 (55 days) · Other
• 1••• C•••••• M••••••••• C•••••• to N•• A•••••• S•••••••• L••
  left Dec 17, 2005, registered Dec 14, 2005 (-3 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

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address