RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Dec 13, 2023 · Wakefield, Ri
• O•••• W•••••• I••• BD affiliated
  Sep 1, 2023 to Dec 12, 2023 · Wakefield, Ri
• S•••••••• F••••••••• I••• former
  May 18, 2007 to Sep 1, 2023 · Wakefield, Ri
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Apr 17, 2007 · Wakefield, Ri
• Q•••• • R•••••• I••• unclassified
  Jun 9, 2004 to Oct 20, 2004 · Wakefield, Ri

• O•••• W•••••• I••• to L•• F•••••••• L••
  left Dec 12, 2023, registered Dec 13, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
• 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 Apr 17, 2007, registered May 18, 2007 (31 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

• L••••••• A••••• M••••• left O•••• W•••••• I••• for L•• F•••••••• 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

Broker-dealer affiliated wealth managerderived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address