RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Newark, De
• V••• F•••••••• A•••••••• I••• BD affiliated
  Jan 1, 2004 to Jun 9, 2021 · Newark, De
• L••••• S••••• S••••••••• I••• unclassified
  Mar 6, 2002 to Jan 1, 2004 · Newark, De
• I••••••••• A••••••• G•••• C••• former
  May 5, 1997 to Dec 31, 2004 · Newark, De

• V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
  left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
• I••••••••• A••••••• G•••• C••• to L••••• S••••• S••••••••• I•••
  left Dec 31, 2004, registered Mar 6, 2002 (-1031 days) · Other
• L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••
  left Jan 1, 2004, registered Jan 1, 2004 (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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address