RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 11, 2021 · Danvers, Ma
• V••• F•••••••• A•••••••• I••• BD affiliated
  Jan 11, 2016 to May 3, 2021 · Danvers, Ma
• I•••••••• C•••••• A••••••• former
  Feb 5, 2009 to Nov 13, 2015 · Lynnfield, Ma
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Apr 24, 2008 to Jan 30, 2009 · Burlington, Ma
• S••••••••• A•••••• A•••••••• I••• former
  Aug 17, 2006 to Apr 17, 2008 · Quincy, Ma

• V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••
  left May 3, 2021, registered May 11, 2021 (8 days) · corporate re-registration, not a move
• I•••••••• C•••••• A••••••• to V••• F•••••••• A•••••••• I•••
  left Nov 13, 2015, registered Jan 11, 2016 (59 days) · Other · moved with a team
• B••• O• A•••••• I••••••••• S•••••••• I••• to I•••••••• C•••••• A•••••••
  left Jan 30, 2009, registered Feb 5, 2009 (6 days) · Other
• S••••••••• A•••••• A•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Apr 17, 2008, registered Apr 24, 2008 (7 days) · Other

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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address