RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 18, 2024 · Charlotte, Nc
• T••••• A••••••• S•••••••• I••• BD affiliated
  Oct 7, 2022 to Dec 18, 2023 · Charlotte, Nc
• N••••• A•••• M••••••••• L•• mixed wealth
  Jan 7, 2021 to Sep 28, 2022 · Chicago, Il
• A••••• A•• P••••••• S••••••• BD affiliated
  Nov 13, 2018 to Dec 22, 2020 · Charlotte, Nc

• T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Dec 18, 2023, registered Jan 18, 2024 (31 days) · Affiliated broker-dealer or bank to another · moved with a team
• N••••• A•••• M••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Sep 28, 2022, registered Oct 7, 2022 (9 days) · Other
• A••••• A•• P••••••• S••••••• to N••••• A•••• M••••••••• L••
  left Dec 22, 2020, registered Jan 7, 2021 (16 days) · Affiliated broker-dealer or bank to independent RIA

• R•••••• Q•••••• S•••••• left T••••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-01-18)
  Dec 18, 2023 · Advisor changed firm · fact
• R•••••• Q•••••• S•••••• left N••••• A•••• M••••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-10-07)
  Sep 28, 2022 · 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

Broker-dealer affiliated wealth managerderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address