RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Summerfield, Fl
• S•••••••• F••••••••• I••• former
  Nov 18, 2005 to Sep 1, 2023 · Johnston, Ri
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Nov 18, 2005 · Avon, Ct
• Q•••• • R•••••• I••• unclassified
  Jul 23, 2004 to Oct 20, 2004 · Hartford, Ct
• E•••••• P•••• A••••••• I••• unclassified
  Jan 2, 2002 to Aug 10, 2004 · Southington, Ct

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••••• F••••••••• I•••
  left Nov 18, 2005, registered Nov 18, 2005 (0 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
• E•••••• P•••• A••••••• I••• to Q•••• • R•••••• I•••
  left Aug 10, 2004, registered Jul 23, 2004 (-18 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address