RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jul 28, 2023 · Jacksonville, Fl
• S••••••• F•••••••• S•••••••• I••• former
  Jun 6, 2016 to Aug 10, 2023 · Jacksonville, Fl
• M•• F•••••••• S•••••••• I••• former
  Jan 2, 2015 to May 19, 2016 · Jacksonville, Fl
• N•• E•••••• S••••••••• C••••••••• former
  Sep 19, 2006 to Jan 2, 2015 · Jacksonville, Fl

• S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
  left Aug 10, 2023, registered Jul 28, 2023 (-13 days) · corporate re-registration, not a move
• M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••
  left May 19, 2016, registered Jun 6, 2016 (18 days) · Other
• N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
  left Jan 2, 2015, registered Jan 2, 2015 (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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address