RIA Intelligence

• D••••• W•••••• L•• independent RIA current
  since Nov 20, 2020 · Fairfield, Ct
• S••••••••• W••••• L•• independent RIA
  Jan 17, 2018 to Nov 9, 2020 · Fairfield, Ct
• S•• W••••• independent RIA
  Dec 4, 2014 to Dec 18, 2017 · Fairfield, Ct
• B••••• P•••••••• L•• former
  Mar 2, 2011 to Nov 26, 2014 · Palm Beach Gardens, Fl
• O•••••• A•••• M••••••••• L•• unclassified
  Sep 14, 2004 to Mar 30, 2009 · New York, Ny
• O•••••• A•••• M••••••••• I••• unclassified
  Aug 7, 2002 to Mar 30, 2005 · New York, Ny

• S••••••••• W••••• L•• to D••••• W•••••• L••
  left Nov 9, 2020, registered Nov 20, 2020 (11 days) · RIA to RIA
• S•• W••••• to S••••••••• W••••• L••
  left Dec 18, 2017, registered Jan 17, 2018 (30 days) · Other
• B••••• P•••••••• L•• to S•• W•••••
  left Nov 26, 2014, registered Dec 4, 2014 (8 days) · corporate re-registration, not a move
• O•••••• A•••• M••••••••• L•• to B••••• P•••••••• L••
  left Mar 30, 2009, registered Mar 2, 2011 (702 days) · Other
• O•••••• A•••• M••••••••• I••• to O•••••• A•••• M••••••••• L••
  left Mar 30, 2005, registered Sep 14, 2004 (-197 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

Independent wealth managerderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address