RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Feb 9, 2007 · Bedford, Nh
• L•• F•••••••• L•• BD affiliated
  Jun 10, 2005 to Jan 18, 2007 · Concord, Nh
• A••••••••• F•••••••• S•••••••• L•• national BD
  Apr 18, 2005 to Jun 3, 2005 · Bedford, Nh
• E•••••• P•••• A••••••• I••• unclassified
  Mar 22, 2004 to Sep 1, 2004 · Nashua, Nh
• B••••• W••••• M••••••••• L•• former
  Apr 11, 2002 to Mar 24, 2004 · Bedford, Nh

• L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••
  left Jan 18, 2007, registered Feb 9, 2007 (22 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Jun 3, 2005, registered Jun 10, 2005 (7 days) · Other
• E•••••• P•••• A••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 1, 2004, registered Apr 18, 2005 (229 days) · Other
• B••••• W••••• M••••••••• L•• to E•••••• P•••• A••••••• I•••
  left Mar 24, 2004, registered Mar 22, 2004 (-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

Broker-dealer affiliated wealth managerderived

Years in industry

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address