RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Raleigh, Nc
• B••• S••••••••• L•• former
  Jan 2, 2013 to Feb 17, 2021 · Raleigh, Nc
• S•••• • S••••••••• L•• former
  Jul 19, 2010 to Jan 2, 2013 · Raleigh, Nc
• B••• I••••••••• S•••••••• I••• former
  Jan 26, 2009 to Jul 21, 2010 · Wilson, Nc
• B••• I••••••••• S•••••••• I••• former
  Jan 5, 2006 to Dec 31, 2008 · Wilson, Nc
• B••• A•••• M••••••••• I••• unclassified
  Apr 21, 2005 to Dec 13, 2005 · Winston-Salem, Nc

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• S•••• • S••••••••• L•• to B••• S••••••••• L••
  left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
• B••• I••••••••• S•••••••• I••• to S•••• • S••••••••• L••
  left Jul 21, 2010, registered Jul 19, 2010 (-2 days) · Other
• B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••
  left Dec 13, 2005, registered Jan 5, 2006 (23 days) · Other

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

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address