RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Feb 3, 2011 · Cranston, Ri
• M••••• S•••••• C••••••••• unclassified
  Dec 7, 2005 to Sep 8, 2009 · Boston, Ma
• N•• E•••••• S••••••••• C••••••••• former
  Feb 2, 2004 to Dec 5, 2005 · North Providence, Ri
• V••••••• I••••••••• A•••••••• I••• unclassified
  Jun 25, 2002 to Dec 19, 2003 · East Providence, Ri
• E•• F•••••••• A••••••• independent RIA
  Apr 16, 2002 to May 21, 2002 · North Providence, Ri

• M••••• S•••••• C••••••••• to L•• F•••••••• L••
  left Sep 8, 2009, registered Feb 3, 2011 (513 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to M••••• S•••••• C•••••••••
  left Dec 5, 2005, registered Dec 7, 2005 (2 days) · Other
• V••••••• I••••••••• A•••••••• I••• to N•• E•••••• S••••••••• C•••••••••
  left Dec 19, 2003, registered Feb 2, 2004 (45 days) · Other
• E•• F•••••••• A••••••• to V••••••• I••••••••• A•••••••• I•••
  left May 21, 2002, registered Jun 25, 2002 (35 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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address