J••••• D•••• K•••••

• E•••••• F•••••••• E•••••• independent RIA current
  since Nov 30, 2016 · Dayton, Oh
• F•••••••• E•••••• A•••••• C•••••• L•• former
  Sep 5, 2014 to Nov 30, 2016 · Overland Park, Ks
• P•• W••••• M••••••••• BD affiliated
  Aug 9, 2010 to Sep 8, 2014 · Cincinnati, Oh
• W•••••• • R••• former
  Mar 2, 2010 to Jul 7, 2010 · West Chester, Oh
• S•••••••• A••••••• L•• national BD
  Apr 10, 2009 to Jan 11, 2010 · Covington, Ky

• F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
  left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
• P•• W••••• M••••••••• to F•••••••• E•••••• A•••••• C•••••• L••
  left Sep 8, 2014, registered Sep 5, 2014 (-3 days) · Other
• W•••••• • R••• to P•• W••••• M•••••••••
  left Jul 7, 2010, registered Aug 9, 2010 (33 days) · Other
• S•••••••• A••••••• L•• to W•••••• • R•••
  left Jan 11, 2010, registered Mar 2, 2010 (50 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

Independent wealth managerderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address