M••••••• D••• C••••••

• R••••• W• B•••• • C•• I••••••••• mixed wealth current
  since Sep 10, 2013 · Cincinnati, Oh
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2008 to May 15, 2012 · Fort Wayne, In
• J••• M••••• S••••••••• I••• unclassified
  Oct 12, 2006 to Oct 1, 2008 · Fort Wayne, In
• S•••••• N••••••• • C••••••• I••••••••• national BD
  May 8, 2006 to Jul 10, 2006 · Fort Wayne, In
• W•••• F•••• I••••••••• L•• unclassified
  Jan 25, 2005 to Apr 10, 2006 · Angola, In

• J••• M••••• S••••••••• L•• to R••••• W• B•••• • C•• I•••••••••
  left May 15, 2012, registered Sep 10, 2013 (483 days) · Other
• J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
• S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• I•••
  left Jul 10, 2006, registered Oct 12, 2006 (94 days) · Other
• W•••• F•••• I••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
  left Apr 10, 2006, registered May 8, 2006 (28 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

Wealth manager with institutional or fund businessderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address