RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · New Fr•••Om, Pa
• W•••••• • R••• former
  Oct 1, 2015 to Jul 21, 2021 · Camp Hill, Pa
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  May 29, 2015 to Oct 8, 2015 · Camp Hill, Pa
• M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
  Mar 11, 2009 to Nov 20, 2014 · Blue Bell, Pa
• A••••••••• F•••••••• S•••••••• L•• national BD
  May 20, 2008 to Jul 29, 2008 · Owings Mills, Md

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to W•••••• • R•••
  left Oct 8, 2015, registered Oct 1, 2015 (-7 days) · Other
• M••••• O• O•••• I••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••
  left Nov 20, 2014, registered May 29, 2015 (190 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••
  left Jul 29, 2008, registered Mar 11, 2009 (225 days) · Affiliated broker-dealer or bank to a newly registered adviser

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