RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Mar 12, 2021 · Ft. Lauderdale, Fl
• T• A••••••••• I••••••••• M••••••••• L•• former
  May 13, 2011 to Mar 9, 2021 · Fort Lauderdale, Fl
• T• A••••••••• I••• former
  Apr 28, 2011 to Mar 9, 2021 · Fort Lauderdale, Fl
• M••••• S•••••• wirehouse
  Dec 17, 2009 to Dec 16, 2010 · Boca Raton, Fl
• B•• M••••• S••••••••• C••••••••• other
  Jul 11, 2008 to Sep 18, 2009 · Tampa, Fl
• S••••••• I••••••••• S•••••••• I••• former
  Aug 8, 2006 to Jul 12, 2007 · Boca Raton, Fl

• T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••
  left Mar 9, 2021, registered Mar 12, 2021 (3 days) · RIA to wirehouse
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Mar 9, 2021, registered May 13, 2011 (-3588 days) · channel change inside one enterprise, not a move
• M••••• S•••••• to T• A••••••••• I•••
  left Dec 16, 2010, registered Apr 28, 2011 (133 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
• B•• M••••• S••••••••• C••••••••• to M••••• S••••••
  left Sep 18, 2009, registered Dec 17, 2009 (90 days) · Other
• S••••••• I••••••••• S•••••••• I••• to B•• M••••• S••••••••• C•••••••••
  left Jul 12, 2007, registered Jul 11, 2008 (365 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

Wirehousederived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address