RIA Intelligence

• E••••• J•••• national BD current
  since Jul 21, 2023 · Mishawaka, In
• L•• F•••••••• L•• BD affiliated
  May 18, 2022 to Aug 2, 2023 · Mishawaka, In
• C••• B•••••••• S•••••••• I••• former
  Jun 1, 2021 to May 18, 2022 · Mishawaka, In

• L•• F•••••••• L•• to E••••• J••••
  left Aug 2, 2023, registered Jul 21, 2023 (-12 days) · Affiliated broker-dealer or bank to another
• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move

• A••••• N• S••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2023-07-21)
  Aug 2, 2023 · 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

National broker-dealer RIAderived

Years in industry

13derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address