RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since May 11, 2023 · Washington, Dc
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 17, 2021 to May 10, 2023 · Washington, Dc
• T••••• A••••••• S•••••••• I••• BD affiliated
  Mar 25, 2019 to Mar 29, 2021 · Chevy Chase, Md
• T••••• A••••••• S•••••••• I••• BD affiliated
  Sep 12, 2016 to Mar 12, 2019 · Columbia, Md
• S••••••• I••••••••• S•••••••• I••• former
  Mar 31, 2016 to Dec 31, 2016 · Columbia, Md
• W•••• F•••• A••••••• wirehouse
  Oct 3, 2013 to Mar 23, 2016 · Reisterstown, Md

• C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
  left May 10, 2023, registered May 11, 2023 (1 days) · Affiliated broker-dealer or bank to wirehouse
• T••••• A••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Mar 29, 2021, registered Jun 17, 2021 (80 days) · Affiliated broker-dealer or bank to another
• S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
  left Dec 31, 2016, registered Sep 12, 2016 (-110 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••
  left Mar 23, 2016, registered Mar 31, 2016 (8 days) · Other

• Z•••••• N••• B•••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-05-11)
  May 10, 2023 · Advisor changed firm · 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

Wirehousederived

Years in industry

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address