RIA Intelligence

• M••••• S•••••• wirehouse current
  since Oct 26, 2021 · Purchase, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 3, 2009 to Oct 25, 2021 · Greenwich, Ct
• S•• I••••••••• I••• former
  Jan 29, 2007 to Jun 30, 2009 · White Plains, Ny
• D•••••••• • A••••••••• I••• unclassified
  Feb 6, 2006 to Jun 19, 2007 · White Plains, Ny

• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Oct 25, 2021, registered Oct 26, 2021 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• S•• I••••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Jun 30, 2009, registered Jun 3, 2009 (-27 days) · Other
• D•••••••• • A••••••••• I••• to S•• I••••••••• I•••
  left Jun 19, 2007, registered Jan 29, 2007 (-141 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

Wirehousederived

Years in industry

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address