RIA Intelligence

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Scarsdale, Ny
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jan 14, 2022 to Mar 31, 2025 · Merrimack, Nh
• N•• A•• A•••• asset manager
  Oct 28, 2020 to Mar 2, 2021 · Rye, Ny
• J••••• M••••••••• S•••• L•• BD affiliated
  Aug 3, 2010 to Jan 22, 2014 · New York, Ny
• T••••• H••••••• L•• former
  Apr 4, 2007 to Aug 4, 2010 · New York, Ny
• W•••• F•••• A••••••• wirehouse
  May 10, 2002 to Oct 13, 2003 · New York, Ny

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• N•• A•• A•••• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Mar 2, 2021, registered Jan 14, 2022 (318 days) · Other
• J••••• M••••••••• S•••• L•• to N•• A•• A••••
  left Jan 22, 2014, registered Oct 28, 2020 (2471 days) · Other
• T••••• H••••••• L•• to J••••• M••••••••• S•••• L••
  left Aug 4, 2010, registered Aug 3, 2010 (-1 days) · Other
• W•••• F•••• A••••••• to T••••• H••••••• L••
  left Oct 13, 2003, registered Apr 4, 2007 (1269 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

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

National broker-dealer RIAderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address