RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Mar 6, 2025 · Groton, Ct
• I• A••••••• S•••••••• I••• former
  Jun 2, 2006 to Mar 6, 2025 · Bridgewater, Nj
• T•• I••••••••• C•••••• I••• unclassified
  Jan 4, 2006 to Oct 2, 2006 · Groton, Ct
• P•• F••••••••• I••• unclassified
  May 25, 2004 to Dec 31, 2005 · Groton, Ct
• M••• S••••• M••••••••• C•••••• unclassified
  Jan 2, 2002 to May 17, 2004 · Groton, Ct

• I• A••••••• S•••••••• I••• to L•• F•••••••• L••
  left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
• T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••
  left Oct 2, 2006, registered Jun 2, 2006 (-122 days) · Other
• P•• F••••••••• I••• to T•• I••••••••• C•••••• I•••
  left Dec 31, 2005, registered Jan 4, 2006 (4 days) · Other
• M••• S••••• M••••••••• C•••••• to P•• F••••••••• I•••
  left May 17, 2004, registered May 25, 2004 (8 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

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address