RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Jun 5, 2019 · Columbus, Oh
• N••••••••• I••••••••• A•••••••• L•• BD affiliated
  Mar 10, 2016 to Jun 5, 2019 · Columbus, Oh
• N••••••••• S••••••••• L•• no RAUM
  Mar 9, 2015 to Mar 21, 2016 · Columbus, Oh
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jan 8, 2015 · Columbus, Oh
• C•••• I••••••••• S••••••• C•••• former
  Oct 1, 2009 to Oct 1, 2012 · Columbus, Oh

• N••••••••• I••••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
  left Jun 5, 2019, registered Jun 5, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
• N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••
  left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to N••••••••• S••••••••• L••
  left Jan 8, 2015, registered Mar 9, 2015 (60 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address