RIA Intelligence

• B•••••• F•••••••• A••••••• L•• independent RIA current
  since Nov 15, 2017 · Hanover, Nh
• B•••••• • F••••• F•••••••• A••••••• former
  Apr 21, 2011 to Nov 13, 2017 · Hanover, Nh
• M••••• S•••••• wirehouse
  Jun 1, 2009 to May 3, 2011 · Lebanon, Nh
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 12, 2005 to Jun 1, 2009 · Lebanon, Nh
• A•••••• I••• unclassified
  Jun 20, 1997 to Dec 21, 2005 · Hanover, Nh

• B•••••• • F••••• F•••••••• A••••••• to B•••••• F•••••••• A••••••• L••
  left Nov 13, 2017, registered Nov 15, 2017 (2 days) · Other
• M••••• S•••••• to B•••••• • F••••• F•••••••• A•••••••
  left May 3, 2011, registered Apr 21, 2011 (-12 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• A•••••• I••• to C•••••••• G••••• M•••••• I•••
  left Dec 21, 2005, registered Dec 12, 2005 (-9 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address