D•••• K•••••

• I•• W••••• M••••••••• L•• BD affiliated current
  since Sep 26, 2018 · Chicago, Il
• P•••••• A•••••• G••••• L•• BD affiliated
  Mar 19, 2018 to Feb 7, 2019 · Burr Ridge, Il
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Mar 22, 2018 · Chicago, Il
• M•• F•••••••• S•••••••• I••• former
  Jan 9, 2013 to Mar 25, 2017 · Chicago, Il
• C•••• I••••••••• S••••••• C•••• former
  Apr 7, 2010 to Mar 8, 2011 · Chicago, Il
• M•• F•••••••• S•••••••• I••• former
  Nov 15, 2007 to Apr 6, 2010 · St. Louis, Mo

• P•••••• A•••••• G••••• L•• to I•• W••••• M••••••••• L••
  left Feb 7, 2019, registered Sep 26, 2018 (-134 days) · RIA to RIA
• M•• I•••••••• S•••••••• L•• to P•••••• A•••••• G••••• L••
  left Mar 22, 2018, registered Mar 19, 2018 (-3 days) · Other
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
• C•••• I••••••••• S••••••• C•••• to M•• F•••••••• S•••••••• I•••
  left Mar 8, 2011, registered Jan 9, 2013 (673 days) · Other
• M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Apr 6, 2010, registered Apr 7, 2010 (1 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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address