RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Scottsdale, Az
• O•••• F•• I••• former
  Sep 20, 2013 to Jan 24, 2025 · Fort Wayne, In
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Sep 4, 2013 · Fort Wayne, In
• C•••• I••••••••• S••••••• C•••• former
  Jul 6, 2005 to Oct 1, 2012 · Fort Wayne, In
• B••• O•• S••••••••• C••••••••• unclassified
  Oct 17, 2003 to Jul 6, 2005 · Ft. Wayne , In
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 5, 2003 to Oct 21, 2003 · Tinley Park, Il

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to O•••• F•• I•••
  left Sep 4, 2013, registered Sep 20, 2013 (16 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
  left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••
  left Oct 21, 2003, registered Oct 17, 2003 (-4 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

Broker-dealer affiliated wealth managerderived

Years in industry

23derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address