RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 8, 2020 · Pearl River, Ny
• S•••••••• F••••••••• I••• former
  Jul 15, 2010 to May 11, 2020 · Pearl River, Ny
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to May 6, 2010 · Wayne, Nj
• W••• I••••••••• I••• unclassified
  Oct 10, 2006 to May 2, 2009 · Wayne, Nj
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Nov 2, 2005 · Hackensack, Nj
• Q•••• • R•••••• I••• unclassified
  Aug 30, 2004 to Oct 20, 2004 · Hackensack, Nj

• S•••••••• F••••••••• I••• to L•• F•••••••• L••
  left May 11, 2020, registered May 8, 2020 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
• C•••• I••••••••• S••••••• C•••• to S•••••••• F••••••••• I•••
  left May 6, 2010, registered Jul 15, 2010 (70 days) · Other
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••
  left Nov 2, 2005, registered Oct 10, 2006 (342 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

Broker-dealer affiliated wealth managerderived

Years in industry

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address