RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 1, 2021 · Columbia, Md
• A•••••• A••••••• S••••••• former
  Oct 25, 2019 to Dec 6, 2021 · Irving, Tx
• B•• W••••• M••••••••• L•• unclassified
  Feb 3, 2016 to Dec 31, 2021 · Columbia, Md
• 1•• G••••• A••••••• I•• former
  Mar 1, 2013 to Oct 25, 2019 · Brookeville, Md
• A••••••••• F•••••••• S•••••••• L•• national BD
  Apr 8, 2009 to Mar 5, 2013 · North Bethesda, Md

• B•• W••••• M••••••••• L•• to A•••••• A••••••• S•••••••
  left Dec 31, 2021, registered Oct 25, 2019 (-798 days) · Other · moved with a team
• A•••••• A••••••• S••••••• to L•• F•••••••• L••
  left Dec 6, 2021, registered Dec 1, 2021 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
• 1•• G••••• A••••••• I•• to B•• W••••• M••••••••• L••
  left Oct 25, 2019, registered Feb 3, 2016 (-1360 days) · Other · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to 1•• G••••• A••••••• I••
  left Mar 5, 2013, registered Mar 1, 2013 (-4 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address