RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Sep 1, 2023 · Rockville, Md
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jul 31, 2014 to Aug 29, 2023 · Rockville, Md
• N•• A•••••• S•••••••• L•• former
  Jun 10, 2014 to Jul 25, 2014 · Columbia, Md
• S••••••••• former
  Feb 21, 2012 to Dec 5, 2013 · Fulton, Md

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••
  left Aug 29, 2023, registered Sep 1, 2023 (3 days) · Affiliated broker-dealer or bank to another
• N•• A•••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jul 25, 2014, registered Jul 31, 2014 (6 days) · Other
• S••••••••• to N•• A•••••• S•••••••• L••
  left Dec 5, 2013, registered Jun 10, 2014 (187 days) · Other

• J•••• W••••• B••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••• I••••••••• A••••••• L•• (registered 2023-09-01)
  Aug 29, 2023 · a•••••• firm change · fact

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

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address