RIA Intelligence

• F•••••••• F•••••••• state registered current
  since Jul 19, 2013 · Boston, Ma
• K••••• A•••••••• I••• BD affiliated
  Aug 15, 2006 to Jul 5, 2018 · Ft. Lauderdale, Fl
• K••••• S••••••••• I••• unclassified
  Apr 13, 2006 to Aug 15, 2006 · Fort Lauderdale, Fl
• L•• F•••••••• L•• BD affiliated
  Jan 11, 2006 to Apr 3, 2006 · Peabody, Ma
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Nov 18, 2004 · Marblehead, Ma
• Q•••• • R•••••• I••• unclassified
  Jul 29, 2003 to Oct 20, 2004 · Marblehead, Ma

• K••••• A•••••••• I••• to F•••••••• F••••••••
  left Jul 5, 2018, registered Jul 19, 2013 (-1812 days) · Affiliated broker-dealer or bank to a state-registered adviser
• K••••• S••••••••• I••• to K••••• A•••••••• I•••
  left Aug 15, 2006, registered Aug 15, 2006 (0 days) · Other
• L•• F•••••••• L•• to K••••• S••••••••• I•••
  left Apr 3, 2006, registered Apr 13, 2006 (10 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
  left Nov 18, 2004, registered Jan 11, 2006 (419 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

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

STATE REGISTEREDderived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address