J••• D•••• S••••••••

• C••••• P••••••• L•• independent RIA current
  since Feb 28, 2023 · Cincinnati, Oh
• C••••• P••••••• O••• L•• institutional
  Oct 6, 2020 to Apr 21, 2023 · Cincinnati, Oh
• T• A••••••••• I••••••••• M••••••••• L•• former
  May 19, 2016 to Oct 7, 2020 · Cincinnati, Oh
• T• A••••••••• I••• former
  May 19, 2016 to Oct 7, 2020 · Cincinnati, Oh
• S•••••••• A••••••• L•• national BD
  Aug 15, 2012 to May 16, 2016 · Covington, Ky

• C••••• P••••••• O••• L•• to C••••• P••••••• L••
  left Apr 21, 2023, registered Feb 28, 2023 (-52 days) · corporate re-registration, not a move
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Oct 7, 2020, registered May 19, 2016 (-1602 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Oct 7, 2020, registered May 19, 2016 (-1602 days) · Other
• S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
  left May 16, 2016, registered May 19, 2016 (3 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

Independent wealth managerderived

Years in industry

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address