RIA Intelligence

• S••••••••• A•••••••• L•• independent RIA current
  since Nov 14, 2018 · Mount Joy, Pa
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jun 14, 2012 to Dec 22, 2017 · Elizabethtown, Pa
• R•• C•••••• M••••••• L•• national BD
  Jun 11, 2009 to May 3, 2012 · Lemoyne, Pa
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Jun 22, 2009 · Camp Hill, Pa
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 17, 2008 to Jun 1, 2009 · Camp Hill, Pa

• A••••••••• F•••••••• S•••••••• L•• to S••••••••• A•••••••• L••
  left Dec 22, 2017, registered Nov 14, 2018 (327 days) · Affiliated broker-dealer or bank to independent RIA
• R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left May 3, 2012, registered Jun 14, 2012 (42 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• to R•• C•••••• M••••••• L••
  left Jun 22, 2009, registered Jun 11, 2009 (-11 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address