RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Dec 13, 2023 · Hanover, Ma
• L•• F•••••••• L•• BD affiliated
  May 30, 2012 to Dec 12, 2023 · Hanover, Ma
• E••••• J•••• national BD
  Oct 30, 2006 to May 31, 2012 · St Louis, Mo
• U••• F•••••••• A••••••• former
  May 19, 2005 to Sep 15, 2006 · Braintree, Ma
• L•• F•••••••• L•• BD affiliated
  Jan 28, 2004 to Jul 16, 2004 · Boston, Ma

• L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Dec 12, 2023, registered Dec 13, 2023 (1 days) · Affiliated broker-dealer or bank to another
• E••••• J•••• to L•• F•••••••• L••
  left May 31, 2012, registered May 30, 2012 (-1 days) · Other
• U••• F•••••••• A••••••• to E••••• J••••
  left Sep 15, 2006, registered Oct 30, 2006 (45 days) · Other
• L•• F•••••••• L•• to U••• F•••••••• A•••••••
  left Jul 16, 2004, registered May 19, 2005 (307 days) · Other

• M••• P••• G•••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-12-13)
  Dec 12, 2023 · Advisor changed firm · fact

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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address