RIA Intelligence

• E••••• J•••• national BD current
  since Nov 9, 2018 · South Bend, In
• L•• F•••••••• L•• BD affiliated
  Apr 11, 2014 to Nov 21, 2018 · South Bend, In
• K•• I••••••••• S••••••• L•• BD affiliated
  Apr 11, 2011 to Apr 7, 2014 · Elkhart, In
• E••••• J•••• national BD
  Nov 21, 2008 to Apr 6, 2011 · South Bend, In

• L•• F•••••••• L•• to E••••• J••••
  left Nov 21, 2018, registered Nov 9, 2018 (-12 days) · RIA to affiliated broker-dealer or bank
• K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
  left Apr 7, 2014, registered Apr 11, 2014 (4 days) · Other
• E••••• J•••• to K•• I••••••••• S••••••• L••
  left Apr 6, 2011, registered Apr 11, 2011 (5 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

National broker-dealer RIAderived

Years in industry

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address