RIA Intelligence

• L••••••• S••••••••• C•••• BD affiliated current
  since Oct 28, 2018 · Hernando, Fl
• F•••••••• E••••• S•••••••• I••• former
  Jul 3, 2013 to Oct 29, 2018 · North Fort Myers, Fl
• T•••••••• A••••••• G••••• I••• BD affiliated
  May 8, 2009 to Jun 25, 2013 · Greensburg, Pa
• O•••• F•• I••• former
  Jan 12, 2006 to Mar 13, 2009 · Danvers, Ma
• I•••••••• C•••••• A••••••• former
  Jan 12, 2005 to Jan 5, 2006 · Danvers, Ma
• E•••••• P•••• A••••••• I••• unclassified
  Jun 19, 2002 to Dec 31, 2004 · Danvers, Ma

• F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••
  left Oct 29, 2018, registered Oct 28, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• T•••••••• A••••••• G••••• I••• to F•••••••• E••••• S•••••••• I•••
  left Jun 25, 2013, registered Jul 3, 2013 (8 days) · Other
• O•••• F•• I••• to T•••••••• A••••••• G••••• I•••
  left Mar 13, 2009, registered May 8, 2009 (56 days) · Other
• I•••••••• C•••••• A••••••• to O•••• F•• I•••
  left Jan 5, 2006, registered Jan 12, 2006 (7 days) · Other
• E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••
  left Dec 31, 2004, registered Jan 12, 2005 (12 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address