RIA Intelligence

• J••• M••••• S••••••••• L•• wirehouse current
  since Feb 24, 2019 · Granville, Oh
• P•• W••••• M••••••••• BD affiliated
  Dec 9, 2015 to Feb 19, 2019 · Hilliard, Oh
• C•••••• O•• A•••••••• L•• former
  Jan 28, 2015 to Aug 31, 2015 · Seattle, Wa
• C•••••• O•• F•••••••• A••••••• L•• unclassified
  Dec 5, 2013 to Jan 28, 2015 · Melville, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Nov 18, 2013 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Dec 14, 2011 to Oct 1, 2012 · New York, Ny

• P•• W••••• M••••••••• to J••• M••••• S••••••••• L••
  left Feb 19, 2019, registered Feb 24, 2019 (5 days) · Affiliated broker-dealer or bank to wirehouse
• C•••••• O•• A•••••••• L•• to P•• W••••• M•••••••••
  left Aug 31, 2015, registered Dec 9, 2015 (100 days) · Other
• C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
  left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to C•••••• O•• F•••••••• A••••••• L••
  left Nov 18, 2013, registered Dec 5, 2013 (17 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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

Wirehousederived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address