RIA Intelligence

• E•• F•••••••• A••••••• independent RIA current
  since Oct 23, 2020 · New York, Ny
• H•••••• T••••••• • K•••• L•• independent RIA
  Nov 22, 2013 to May 29, 2019 · Uniondale, Ny
• O•••• F•• I••• former
  Nov 8, 2006 to Nov 14, 2013 · Jericho, Ny
• H•••••• T••••••• • K•••• L•• independent RIA
  Nov 12, 2003 to Nov 9, 2006 · Uniondale, Ny
• L••••• A•••••••• L•• former
  Mar 14, 2003 to Nov 10, 2003 · Holbrook, Ny

• H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••
  left May 29, 2019, registered Oct 23, 2020 (513 days) · Affiliated broker-dealer or bank to another
• O•••• F•• I••• to H•••••• T••••••• • K•••• L••
  left Nov 14, 2013, registered Nov 22, 2013 (8 days) · Other
• H•••••• T••••••• • K•••• L•• to O•••• F•• I•••
  left Nov 9, 2006, registered Nov 8, 2006 (-1 days) · Other
• L••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
  left Nov 10, 2003, registered Nov 12, 2003 (2 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

Independent wealth managerderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address