RIA Intelligence

• E••••• J•••• national BD current
  since Mar 2, 2018 · Vicksburg, Mi
• P•• W••••• M••••••••• BD affiliated
  Feb 19, 2013 to Mar 8, 2018 · Portage, Mi
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 20, 2012 to Feb 1, 2013 · Portage, Mi
• E••••• J•••• national BD
  Sep 13, 2010 to Feb 28, 2012 · Maryland Heights, Mo

• P•• W••••• M••••••••• to E••••• J••••
  left Mar 8, 2018, registered Mar 2, 2018 (-6 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••
  left Feb 1, 2013, registered Feb 19, 2013 (18 days) · Other
• E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Feb 28, 2012, registered Apr 20, 2012 (52 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

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address