RIA Intelligence

• K•••••••• W••••• A•••••••• L•• BD affiliated current
  since Jul 28, 2021 · Severna Park, Md
• M••••• A•••••••• L•• BD affiliated
  Jul 15, 2020 to Sep 4, 2020 · Babylon, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Apr 7, 2015 to Jun 5, 2020 · Manhasset, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jan 5, 2015 · Williston Park, Ny
• C•••• I••••••••• S••••••• C•••• former
  Nov 29, 2011 to Oct 1, 2012 · Garden City, Ny

• M••••• A•••••••• L•• to K•••••••• W••••• A•••••••• L••
  left Sep 4, 2020, registered Jul 28, 2021 (327 days) · Affiliated broker-dealer or bank to independent RIA
• H••• S••••••••• •••• I••• to M••••• A•••••••• L••
  left Jun 5, 2020, registered Jul 15, 2020 (40 days) · Affiliated broker-dealer or bank to another
• J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••
  left Jan 5, 2015, registered Apr 7, 2015 (92 days) · Other
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

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