RIA Intelligence

• R•••• F•••••••• G•••• state registered current
  since Nov 28, 2023 · Thompsons Station, Tn
• S••••••••• A•••••• A•••••••• I••• former
  Oct 30, 2017 to Dec 31, 2023 · Thompsons Station, Tn
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Mar 31, 2006 to Nov 1, 2017 · South Windsor, Ct
• O•••• F•• I••• former
  Mar 10, 2003 to Apr 3, 2006 · Windsor, Ct
• P•••••• A••••••• S••••••• I•• unclassified
  Jun 5, 1995 to Mar 31, 2003 · Windsor, Ct

• S••••••••• A•••••• A•••••••• I••• to R•••• F•••••••• G••••
  left Dec 31, 2023, registered Nov 28, 2023 (-33 days) · Affiliated broker-dealer or bank to a state-registered adviser
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••
  left Nov 1, 2017, registered Oct 30, 2017 (-2 days) · Other
• O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Apr 3, 2006, registered Mar 31, 2006 (-3 days) · Other
• P•••••• A••••••• S••••••• I•• to O•••• F•• I•••
  left Mar 31, 2003, registered Mar 10, 2003 (-21 days) · Other

• S•••••• J•••• R•••• left S••••••••• A•••••• A•••••••• I••• for R•••• F•••••••• G•••• (registered 2023-11-28)
  Dec 31, 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

STATE REGISTEREDderived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address