RIA Intelligence

• B•• C••••••• R••••••••• I••••••••• A•••••• former current
  since May 5, 2020 · Tampa, Fl
• R•••• C••••••• I••• unclassified
  Jan 23, 2013 to May 18, 2020 · St Petersburg, Fl
• S•• A•••• M••••••••• I•• state r•••••••••
  Apr 30, 2009 to Oct 1, 2012 · Tampa, Fl
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 23, 2008 to Jan 15, 2009 · Tampa, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 7, 2004 to Apr 30, 2008 · Saint Petersburg, Fl

• R•••• C••••••• I••• to B•• C••••••• R••••••••• I••••••••• A••••••
  left May 18, 2020, registered May 5, 2020 (-13 days) · Other
• S•• A•••• M••••••••• I•• to R•••• C••••••• I•••
  left Oct 1, 2012, registered Jan 23, 2013 (114 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to S•• A•••• M••••••••• I••
  left Jan 15, 2009, registered Apr 30, 2009 (105 days) · Affiliated broker-dealer or bank to a state-registered adviser
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Apr 30, 2008, registered May 23, 2008 (23 days) · Wirehouse to affiliated broker-dealer or bank

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

Former SEC-registered adviserderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address