RIA Intelligence

• C••• I••••••••• A••••••• S•••••••• L•• institutional current
  since Dec 19, 2018 · Cleveland, Oh
• S•••••• F•••••••• G••••• L••••• independent RIA
  Nov 6, 2015 to Dec 31, 2018 · Akron, Oh
• N•• A•••••• S•••••••• L•• former
  Oct 5, 2011 to Oct 26, 2015 · Bethesda, Md
• S•••••••• A••••••• L•• national BD
  Sep 3, 2010 to Sep 20, 2011 · Reston, Va
• M•• F•••••••• S•••••••• I••• former
  Jun 26, 2006 to Jul 7, 2009 · Newton Falls, Oh

• S•••••• F•••••••• G••••• L••••• to C••• I••••••••• A••••••• S•••••••• L••
  left Dec 31, 2018, registered Dec 19, 2018 (-12 days) · RIA to RIA · moved with a team
• N•• A•••••• S•••••••• L•• to S•••••• F•••••••• G••••• L•••••
  left Oct 26, 2015, registered Nov 6, 2015 (11 days) · Other
• S•••••••• A••••••• L•• to N•• A•••••• S•••••••• L••
  left Sep 20, 2011, registered Oct 5, 2011 (15 days) · Other
• M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••
  left Jul 7, 2009, registered Sep 3, 2010 (423 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

Institutional managerderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address