RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Sep 4, 2018 · Americus, Ga
• K••••• A•••••••• I••• BD affiliated
  Jan 7, 2015 to Sep 4, 2018 · Americus, Ga
• R••••••• H••••••• I••••••••• A•••••••• I••• former
  Jun 17, 2008 to Dec 31, 2014 · Americus, Ga
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Jun 4, 2008 · Americus, Ga
• A• G• E•••••• • S•••• I••• unclassified
  Apr 29, 2004 to Jan 1, 2008 · Americus, Ga

• K••••• A•••••••• I••• to L•• F•••••••• L••
  left Sep 4, 2018, registered Sep 4, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
• R••••••• H••••••• I••••••••• A•••••••• I••• to K••••• A•••••••• I•••
  left Dec 31, 2014, registered Jan 7, 2015 (7 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to R••••••• H••••••• I••••••••• A•••••••• I•••
  left Jun 4, 2008, registered Jun 17, 2008 (13 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (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

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