RIA Intelligence

• M••••• S•••••• wirehouse current
  since Jul 11, 2018 · Columbus, Oh
• J••• M••••• S••••••••• L•• wirehouse
  Oct 2, 2014 to Jun 8, 2018 · Columbus, Oh
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Sep 25, 2009 to May 25, 2011 · Columbus, Oh
• U•• F•••••••• S••••••• I••• wirehouse
  Feb 9, 2007 to Sep 25, 2009 · Beachwood, Oh
• K•••••• C•••••• M•••••• I••• unclassified
  Apr 29, 2005 to Feb 9, 2007 · New Albany, Oh

• J••• M••••• S••••••••• L•• to M••••• S••••••
  left Jun 8, 2018, registered Jul 11, 2018 (33 days) · Wirehouse to wirehouse
• S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• L••
  left May 25, 2011, registered Oct 2, 2014 (1226 days) · Affiliated broker-dealer or bank to wirehouse
• U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Sep 25, 2009, registered Sep 25, 2009 (0 days) · corporate re-registration, not a move
• K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
  left Feb 9, 2007, registered Feb 9, 2007 (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

Wirehousederived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address