RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Apr 10, 2023 · Wakefield, Ma
• M•• F•••••••• S•••••••• I••• former
  Jan 2, 2015 to Mar 25, 2017 · Wakefield, Ma
• M•••••• independent RIA
  Apr 1, 2011 to Apr 5, 2018 · Overland Park,, Ks
• N•• E•••••• S••••••••• C••••••••• former
  Mar 23, 2011 to Jan 2, 2015 · Boston, Ma
• U•• S••••••••• I••• no RAUM
  Apr 22, 2004 to Mar 28, 2011 · Woburn, Ma
• 1••• C•••••• M••••••••• C•••••• unclassified
  Mar 27, 2002 to Apr 9, 2004 · Newton, Ma

• M•••••• to M•• F•••••••• S•••••••• I•••
  left Apr 5, 2018, registered Jan 2, 2015 (-1189 days) · Other · moved with a team
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Apr 10, 2023 (2207 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to M••••••
  left Jan 2, 2015, registered Apr 1, 2011 (-1372 days) · Other · moved with a team
• U•• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••
  left Mar 28, 2011, registered Mar 23, 2011 (-5 days) · Other
• 1••• C•••••• M••••••••• C•••••• to U•• S••••••••• I•••
  left Apr 9, 2004, registered Apr 22, 2004 (13 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