RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 14, 2006 · Glastonbury, Ct
• S••••••• W••••• S••••••••• L•• unclassified
  Jul 18, 2008 to Dec 17, 2021 · Glastonbury, Ct
• E•• F•••••••• A••••••• independent RIA
  Mar 15, 2006 to Dec 5, 2006 · Glastonbury, Ct
• I•••••••• A••••••• I•• unclassified
  Mar 11, 2005 to Dec 16, 2005 · Woburn, Ma
• A•••• W••••• M••••••••• L•• independent RIA
  Jun 25, 2003 to Jan 19, 2005 · Atlanta, Ga

• S••••••• W••••• S••••••••• L•• to no registered destination
  left Dec 17, 2021 · Departure, no registered destination
• E•• F•••••••• A••••••• to L•• F•••••••• L••
  left Dec 5, 2006, registered Dec 14, 2006 (9 days) · Other
• I•••••••• A••••••• I•• to E•• F•••••••• A•••••••
  left Dec 16, 2005, registered Mar 15, 2006 (89 days) · Other
• A•••• W••••• M••••••••• L•• to I•••••••• A••••••• I••
  left Jan 19, 2005, registered Mar 11, 2005 (51 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