RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since May 4, 2018 · Atlanta, Ga
• W•••••• • R••• former
  Mar 3, 2014 to May 9, 2018 · Alpharetta, Ga
• N•• E•••••• S••••••••• C••••••••• former
  Feb 9, 2011 to Mar 4, 2014 · Atlanta, Ga
• E•• F•••••••• A••••••• independent RIA
  Oct 2, 2008 to Feb 4, 2011 · Sandy Springs, Ga
• A••••••••• F•••••••• S•••••••• L•• national BD
  Mar 17, 2004 to Sep 5, 2008 · South Portland, Me

• W•••••• • R••• to M•• I•••••••• S•••••••• L••
  left May 9, 2018, registered May 4, 2018 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
• N•• E•••••• S••••••••• C••••••••• to W•••••• • R•••
  left Mar 4, 2014, registered Mar 3, 2014 (-1 days) · Other
• E•• F•••••••• A••••••• to N•• E•••••• S••••••••• C•••••••••
  left Feb 4, 2011, registered Feb 9, 2011 (5 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to E•• F•••••••• A•••••••
  left Sep 5, 2008, registered Oct 2, 2008 (27 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address