RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Indianapolis, In
• C••• B•••••••• S•••••••• I••• former
  Jan 5, 2021 to May 18, 2022 · Waverly, Ia
• C••• F•••••••• S•••••••• L••• former
  Apr 2, 2012 to Jan 4, 2021 · Indianapolis, In
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Dec 18, 2008 to Feb 9, 2012 · Carmel, In
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Oct 27, 2008 · Indianapolis, In
• A• G• E•••••• • S•••• I••• unclassified
  May 23, 2007 to Jan 1, 2008 · Indianapolis, In

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••
  left Jan 4, 2021, registered Jan 5, 2021 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
• V•••• F•••••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••
  left Feb 9, 2012, registered Apr 2, 2012 (53 days) · Other
• W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
  left Oct 27, 2008, registered Dec 18, 2008 (52 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

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