RIA Intelligence

• J• W• C••• A•••••••• I••• BD affiliated current
  since Nov 9, 2017 · Tampa, Fl
• E•••••••• A•••••••• L•• national BD
  Apr 6, 2015 to Nov 15, 2017 · Rockledge, Fl
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Jun 22, 2011 to Apr 9, 2015 · Melbourne, Fl
• L•• F•••••••• L•• BD affiliated
  May 5, 2009 to Jun 10, 2011 · Indian Harbour Beach, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Dec 20, 2007 to May 13, 2009 · Melbourne, Fl

• E•••••••• A•••••••• L•• to J• W• C••• A•••••••• I•••
  left Nov 15, 2017, registered Nov 9, 2017 (-6 days) · Other · moved with a team
• V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••
  left Apr 9, 2015, registered Apr 6, 2015 (-3 days) · Other
• L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••
  left Jun 10, 2011, registered Jun 22, 2011 (12 days) · Other
• U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
  left May 13, 2009, registered May 5, 2009 (-8 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address