RIA Intelligence

• I•• W••••• M••••••••• L•• BD affiliated current
  since Sep 26, 2018 · Chicago, Il
• P•••••• A•••••• G••••• L•• BD affiliated
  Nov 9, 2017 to Oct 8, 2018 · Burr Ridge, Il
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Nov 13, 2017 · Chicago, Il
• M•• F•••••••• S•••••••• I••• former
  Nov 3, 2009 to Mar 25, 2017 · Chicago, Il

• P•••••• A•••••• G••••• L•• to I•• W••••• M••••••••• L••
  left Oct 8, 2018, registered Sep 26, 2018 (-12 days) · RIA to RIA · moved with a team
• M•• I•••••••• S•••••••• L•• to P•••••• A•••••• G••••• L••
  left Nov 13, 2017, registered Nov 9, 2017 (-4 days) · Other · moved with a team
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

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