RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Mount Pleasant, Sc
• B••• S••••••••• L•• former
  Jan 2, 2018 to Feb 17, 2021 · Millersburg, Pa
• B••• I••••••••• S•••••••• I••• former
  Apr 20, 2015 to Jan 2, 2018 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Dec 20, 2010 to May 1, 2015 · Bluefield, Wv
• B••• I••••••••• S•••••••• I••• former
  Sep 18, 2006 to Dec 17, 2010 · Princeton, Wv
• B• I••••••••• L•• unclassified
  Oct 20, 2005 to Sep 6, 2006 · Princeton, Wv

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
  left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••
  left May 1, 2015, registered Apr 20, 2015 (-11 days) · Other
• B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
  left Dec 17, 2010, registered Dec 20, 2010 (3 days) · Other
• B• I••••••••• L•• to B••• I••••••••• S•••••••• I•••
  left Sep 6, 2006, registered Sep 18, 2006 (12 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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address