RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 1, 2025 · Elm G••••, Wi
• G•••• P•••• A•••••••• L•• former
  Apr 1, 2021 to May 1, 2025 · Rockville, Md
• H• B•••• I••• former
  Jan 6, 2010 to Apr 1, 2021 · Elm G••••, Wi
• L•• F•••••••• L•• BD affiliated
  Sep 8, 2009 to Dec 31, 2009 · Brookfield, Wi
• W••••••••• F•••••••• G••••• I••• unclassified
  Sep 11, 2002 to Sep 8, 2009 · Brookfield, Wi
• F•• A••••••• S••••••• I•• unclassified
  Jun 6, 1993 to Sep 23, 2002 · Brookfield, Wi

• G•••• P•••• A•••••••• L•• to L•• F•••••••• L••
  left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
• H• B•••• I••• to G•••• P•••• A•••••••• L••
  left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to H• B•••• I•••
  left Dec 31, 2009, registered Jan 6, 2010 (6 days) · Other
• W••••••••• F•••••••• G••••• I••• to L•• F•••••••• L••
  left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
• F•• A••••••• S••••••• I•• to W••••••••• F•••••••• G••••• I•••
  left Sep 23, 2002, registered Sep 11, 2002 (-12 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

Broker-dealer affiliated wealth managerderived

Years in industry

47derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address