RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 5, 2023 · Las Vegas, Nv
• O• I••••••••• M••••••••• C• BD affiliated
  Mar 1, 2016 to Aug 30, 2023 · Warrenville, Il
• P••• A••••• S••••••••• L•• BD affiliated
  Oct 12, 2011 to Mar 9, 2016 · Batavia, Il
• E•••• S••••••••• L•• BD affiliated
  Jul 23, 2007 to Sep 9, 2011 · Batavia, Il
• C•••••• T•••• B••• unclassified
  Oct 20, 2003 to Nov 15, 2004 · Bartlett, Il

• O• I••••••••• M••••••••• C• to L•• F•••••••• L••
  left Aug 30, 2023, registered Sep 5, 2023 (6 days) · Affiliated broker-dealer or bank to another
• P••• A••••• S••••••••• L•• to O• I••••••••• M••••••••• C•
  left Mar 9, 2016, registered Mar 1, 2016 (-8 days) · Other
• E•••• S••••••••• L•• to P••• A••••• S••••••••• L••
  left Sep 9, 2011, registered Oct 12, 2011 (33 days) · Other
• C•••••• T•••• B••• to E•••• S••••••••• L••
  left Nov 15, 2004, registered Jul 23, 2007 (980 days) · Other

• J••••••• P•••••• K••••• left O• I••••••••• M••••••••• C• for L•• F•••••••• L•• (registered 2023-09-05)
  Aug 30, 2023 · Advisor changed firm · fact

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