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RIA Intelligence
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Feed of 09/14/2026
Also filed as J•••••• Anne Schwarze
At current firm
2 y
since Jan 12, 2024
In the industry
21 y
since Jul 28, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Jan 12, 2024 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseMay 13, 2014 to Jan 19, 2024 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDMay 19, 2010 to May 6, 2014 · Minneapolis, Mn
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerApr 21, 2010 to May 19, 2010 · Boston, Ma
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMay 11, 2007 to Apr 28, 2008 · St. Paul, Mn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to ••••••••left Jan 19, 2024, registered Jan 12, 2024 (-7 days) · Wirehouse to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left May 6, 2014, registered May 13, 2014 (7 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• M••••••••• I••••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 19, 2010, registered May 19, 2010 (0 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left Apr 28, 2008, registered Apr 21, 2010 (723 days) · Other
Signals
- J•••••• H•••••• left W•••• F•••• A••••••• for &Partners (registered 2024-01-12)Jan 19, 2024 · Advisor changed firm · fact
Transition signals
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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address