RIA Intelligence

• A••••• F•••••••• P•••••••• I••• independent RIA current
  since May 10, 2012 · Hallandale, Fl
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to May 11, 2012 · Indianapolis, In
• A• G• E•••••• • S•••• I••• unclassified
  Sep 6, 2007 to Jan 1, 2008 · Indianapolis, In
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Aug 29, 2007 · Indianapolis, In
• M••••• S•••••• D• I••• unclassified
  Aug 15, 2005 to Apr 2, 2007 · Indianapolis, In

• W•••• F•••• A••••••• to A••••• F•••••••• P•••••••• I•••
  left May 11, 2012, registered May 10, 2012 (-1 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• M••••• S•••••• • C•• L•• to A• G• E•••••• • S•••• I•••
  left Aug 29, 2007, registered Sep 6, 2007 (8 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 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

Independent wealth managerderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address