RIA Intelligence

• P•• W••••• M••••••••• BD affiliated current
  since May 3, 2021 · Whitehall, Pa
• L•• F•••••••• L•• BD affiliated
  Sep 8, 2020 to May 14, 2021 · Easton, Pa
• P•• W••••• M••••••••• BD affiliated
  May 9, 2012 to Sep 10, 2020 · Bethlehem, Pa
• E••••• J•••• national BD
  Feb 28, 2011 to Sep 2, 2011 · St Louis, Mo

• L•• F•••••••• L•• to P•• W••••• M•••••••••
  left May 14, 2021, registered May 3, 2021 (-11 days) · Affiliated broker-dealer or bank to another
• P•• W••••• M••••••••• to L•• F•••••••• L••
  left Sep 10, 2020, registered Sep 8, 2020 (-2 days) · Affiliated broker-dealer or bank to another
• E••••• J•••• to P•• W••••• M•••••••••
  left Sep 2, 2011, registered May 9, 2012 (250 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

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address