RIA Intelligence

• N•• A•••• M••••••••• L•• BD affiliated current
  since Jan 9, 2018 · Fair Lawn, Nj
• N•• A•••• M••••••••• L•• BD affiliated
  Nov 5, 2015 to Dec 31, 2017 · Fair Lawn, Nj
• V••• F•••••••• A•••••••• I••• BD affiliated
  Dec 3, 2014 to Nov 2, 2015 · Charlotte, Nc
• N•• A•••• M••••••••• L•• BD affiliated
  Jan 10, 2013 to Nov 28, 2014 · Fair Lawn, Nj
• O•••• F•• I••• former
  Sep 11, 2006 to Jan 16, 2013 · Paramus, Nj
• T• A••••••••• I••• former
  Apr 20, 2004 to Apr 19, 2005 · Jersey City, Nj
• B•• M••••• A•••••••• I••• bank affiliated
  May 21, 2001 to Mar 3, 2004 · Malvern, Pa

• V••• F•••••••• A•••••••• I••• to N•• A•••• M••••••••• L••
  left Nov 2, 2015, registered Nov 5, 2015 (3 days) · Other
• N•• A•••• M••••••••• L•• to V••• F•••••••• A•••••••• I•••
  left Nov 28, 2014, registered Dec 3, 2014 (5 days) · Other
• O•••• F•• I••• to N•• A•••• M••••••••• L••
  left Jan 16, 2013, registered Jan 10, 2013 (-6 days) · Other
• T• A••••••••• I••• to O•••• F•• I•••
  left Apr 19, 2005, registered Sep 11, 2006 (510 days) · Other
• B•• M••••• A•••••••• I••• to T• A••••••••• I•••
  left Mar 3, 2004, registered Apr 20, 2004 (48 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