RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Lakewood Ranch, Fl
• S•• I••••••••• I••• former
  Mar 1, 2016 to Feb 15, 2018 · Bridgewater, Nj
• I•••••• P•••••• A•••••••• L•• former
  Dec 23, 2014 to Mar 15, 2016 · Bridgewater, Nj
• M•••• C••••••••• G•••• former
  Nov 20, 2009 to Dec 17, 2014 · Parsippany, Nj
• S•• I••••••••• I••• former
  Sep 9, 2009 to Nov 13, 2012 · Parsippany, Nj
• N•• E•••••• S••••••••• C••••••••• former
  Jun 21, 2002 to Sep 17, 2009 · Princeton, Nj

• S•• I••••••••• I••• to L•• F•••••••• L••
  left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
• I•••••• P•••••• A•••••••• L•• to S•• I••••••••• I•••
  left Mar 15, 2016, registered Mar 1, 2016 (-14 days) · Other
• M•••• C••••••••• G•••• to I•••••• P•••••• A•••••••• L••
  left Dec 17, 2014, registered Dec 23, 2014 (6 days) · Other
• S•• I••••••••• I••• to M•••• C••••••••• G••••
  left Nov 13, 2012, registered Nov 20, 2009 (-1089 days) · Other
• N•• E•••••• S••••••••• C••••••••• to S•• I••••••••• I•••
  left Sep 17, 2009, registered Sep 9, 2009 (-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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address