RIA Intelligence

• M•••••• BD affiliated current
  since Jan 17, 2025 · Oakbrook Terrace, Il
• H•••••••• A•••••••• L•• BD affiliated
  May 2, 2022 to Jan 8, 2025 · Chicago, Il
• H•••••••• A•••••••• L•• BD affiliated
  Dec 22, 2021 to Dec 31, 2021 · Chicago, Il
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Aug 10, 2017 to Jun 22, 2021 · Northbrook, Il

• H•••••••• A•••••••• L•• to M••••••
  left Jan 8, 2025, registered Jan 17, 2025 (9 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••
  left Jun 22, 2021, registered Dec 22, 2021 (183 days) · Wirehouse to affiliated broker-dealer or bank

• W•••••• H••••• left H•••••••• A•••••••• L•• for Mariner (registered 2025-01-17)
  Jan 8, 2025 · 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

10derivedfrom the earliest dated exam, employment or registration

Not published

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