RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 16, 2022 · Stevensville, Md
• O•••• F•• I••• former
  Jun 9, 2022 to Nov 7, 2022 · Preston, Md
• L•• F•••••••• L•• BD affiliated
  Sep 5, 2019 to Aug 13, 2021 · Stevensville, Md
• K••••• A••••••• S•••••••• L•• BD affiliated
  Apr 19, 2016 to Sep 5, 2019 · Stevensville, Md
• N•• A•••••• S•••••••• L•• former
  Nov 6, 2015 to Sep 22, 2016 · Stevensville, Md

• O•••• F•• I••• to L•• F•••••••• L••
  left Nov 7, 2022, registered Dec 16, 2022 (39 days) · Affiliated broker-dealer or bank to independent RIA
• L•• F•••••••• L•• to O•••• F•• I•••
  left Aug 13, 2021, registered Jun 9, 2022 (300 days) · Affiliated broker-dealer or bank to another
• K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
  left Sep 5, 2019, registered Sep 5, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
• N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
  left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move

• M•••• P••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2022-12-16)
  Nov 7, 2022 · a•••••• firm change · 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

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address