RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Feb 15, 2019 · Omaha, Ne
• W•••• F•••• A••••••• wirehouse
  May 5, 2015 to Feb 25, 2019 · Blacksburg, Va
• L•• F•••••••• L•• BD affiliated
  Jan 7, 2015 to May 15, 2015 · Christiansburg, Va
• I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
  Jul 23, 2014 to Dec 8, 2014 · Christiansburg, Va
• W•••• F•••• A••••••• wirehouse
  Apr 7, 2009 to Jul 23, 2012 · Roanoke, Va
• E••••• J•••• national BD
  Aug 2, 2007 to Jul 30, 2008 · Ripplemead, Va

• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 25, 2019, registered Feb 15, 2019 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• L•• F•••••••• L•• to W•••• F•••• A•••••••
  left May 15, 2015, registered May 5, 2015 (-10 days) · Other · moved with a team
• I••••••••• A•••••• A•••••••• L•• to L•• F•••••••• L••
  left Dec 8, 2014, registered Jan 7, 2015 (30 days) · Other
• W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••
  left Jul 23, 2012, registered Jul 23, 2014 (730 days) · Other
• E••••• J•••• to W•••• F•••• A•••••••
  left Jul 30, 2008, registered Apr 7, 2009 (251 days) · Affiliated broker-dealer or bank to wirehouse

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

National broker-dealer RIAderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address