RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Oct 11, 2024 · Greenwich, Ct
• A••••••• P••••••••• A•••••••• I•• former
  Feb 7, 2019 to Oct 11, 2024 · Holbrook, Ny
• Q•••••• A•••• M••••••••• I••• former
  May 1, 2015 to Dec 31, 2018 · Stamford, Ct
• S•• BD affiliated
  Mar 13, 2003 to May 4, 2015 · Stamford, Ct
• V••• F•••••••• A•••••••• I••• BD affiliated
  Jun 3, 1997 to Mar 13, 2003 · Stamford, Ct

• A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
  left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
• Q•••••• A•••• M••••••••• I••• to A••••••• P••••••••• A•••••••• I••
  left Dec 31, 2018, registered Feb 7, 2019 (38 days) · Affiliated broker-dealer or bank to independent RIA
• S•• to Q•••••• A•••• M••••••••• I•••
  left May 4, 2015, registered May 1, 2015 (-3 days) · Other
• V••• F•••••••• A•••••••• I••• to S••
  left Mar 13, 2003, registered Mar 13, 2003 (0 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