RIA Intelligence

• W•••• F•••• A••••••• wirehouse current
  since Sep 27, 2021 · Atlanta, Ga
• W•••• F•••• A••••••• wirehouse
  Jun 11, 2020 to Aug 31, 2021 · Albany, Ga
• R•••••• J•••• • A••••••••• I••• national BD
  Apr 19, 2017 to Jun 5, 2020 · Albany, Ga
• C••••• I••••••••• A••••••• L•• BD affiliated
  Feb 15, 2016 to Apr 4, 2017 · Albany, Ga

• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Aug 31, 2021, registered Sep 27, 2021 (27 days) · channel change inside one enterprise, not a move
• R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
  left Jun 5, 2020, registered Jun 11, 2020 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• C••••• I••••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Apr 4, 2017, registered Apr 19, 2017 (15 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

Wirehousederived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address