RIA Intelligence

• C•••••• A••••••• BD affiliated current
  since Dec 15, 2017 · Braintree, Ma
• G•• S••••••••• I••• BD affiliated
  Oct 18, 2016 to Dec 4, 2017 · Palm Beach Gardens, Fl
• M•••••• independent RIA
  Mar 17, 2015 to Sep 22, 2015 · So. Easton, Ma
• H•••••• T••••••• • K•••• L•• independent RIA
  Jun 18, 2010 to Aug 12, 2011 · Hingham, Ma
• I•••••••• C•••••• A••••••• former
  Jan 10, 2005 to Dec 16, 2005 · East Providence, Ri
• E•••••• P•••• A••••••• I••• unclassified
  Jun 22, 2001 to Dec 31, 2004 · East Providence, Ri

• G•• S••••••••• I••• to C•••••• A•••••••
  left Dec 4, 2017, registered Dec 15, 2017 (11 days) · Other
• M•••••• to G•• S••••••••• I•••
  left Sep 22, 2015, registered Oct 18, 2016 (392 days) · Other
• H•••••• T••••••• • K•••• L•• to M••••••
  left Aug 12, 2011, registered Mar 17, 2015 (1313 days) · Other
• I•••••••• C•••••• A••••••• to H•••••• T••••••• • K•••• L••
  left Dec 16, 2005, registered Jun 18, 2010 (1645 days) · Other
• E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••
  left Dec 31, 2004, registered Jan 10, 2005 (10 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

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