RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Wilmington, Nc
• B••• S••••••••• L•• former
  Apr 25, 2018 to Feb 17, 2021 · Charlotte, Nc
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Dec 12, 2016 · Morristown, Nj
• M••••• S•••••• • C•• L•• unclassified
  Oct 31, 2007 to Jun 1, 2009 · Morristown, Nj

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• M••••• S•••••• to B••• S••••••••• L••
  left Dec 12, 2016, registered Apr 25, 2018 (499 days) · Wirehouse to affiliated broker-dealer or bank
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address