RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jan 13, 2020 · Darien, Ct
• A•••••• A••••••• S••••••• former
  Oct 15, 2008 to Jan 10, 2020 · Newburyport, Ma
• O•••• I••••••••• I••• BD affiliated
  Nov 23, 2005 to Dec 18, 2006 · Newburyport, Ma
• C•••• I••••••••• S••••••• C•••• former
  Feb 14, 2005 to Feb 24, 2005 · New York, Ny

• A•••••• A••••••• S••••••• to L•• F•••••••• L••
  left Jan 10, 2020, registered Jan 13, 2020 (3 days) · Affiliated broker-dealer or bank to another
• O•••• I••••••••• I••• to A•••••• A••••••• S•••••••
  left Dec 18, 2006, registered Oct 15, 2008 (667 days) · Other
• C•••• I••••••••• S••••••• C•••• to O•••• I••••••••• I•••
  left Feb 24, 2005, registered Nov 23, 2005 (272 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address