RIA Intelligence

• S•••• W••••• M••••••••• L•• BD affiliated current
  since Oct 25, 2018 · Mclean, Va
• T••••• A••••••• S•••••••• I••• BD affiliated
  Nov 10, 2017 to Aug 9, 2018 · Frederick, Md
• A••••• A•• P••••••• S••••••• BD affiliated
  Apr 15, 2013 to Oct 10, 2017 · Bethesda, Md
• P•• W••••• M••••••••• BD affiliated
  Nov 10, 2009 to Mar 20, 2013 · Frederick, Md
• W•••• F•••• A••••••• wirehouse
  Jul 15, 2005 to Oct 26, 2009 · Glyndon, Md
• A••••••••• F•••••••• S•••••••• L•• national BD
  Aug 12, 2003 to Mar 21, 2005 · Owings Mills, Md

• T••••• A••••••• S•••••••• I••• to S•••• W••••• M••••••••• L••
  left Aug 9, 2018, registered Oct 25, 2018 (77 days) · Affiliated broker-dealer or bank to independent RIA
• A••••• A•• P••••••• S••••••• to T••••• A••••••• S•••••••• I•••
  left Oct 10, 2017, registered Nov 10, 2017 (31 days) · Other
• P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••
  left Mar 20, 2013, registered Apr 15, 2013 (26 days) · Other
• W•••• F•••• A••••••• to P•• W••••• M•••••••••
  left Oct 26, 2009, registered Nov 10, 2009 (15 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
  left Mar 21, 2005, registered Jul 15, 2005 (116 days) · Affiliated broker-dealer or bank to wirehouse

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