RIA Intelligence

• V••••••••• A••••••• S••••••• BD affiliated current
  since May 7, 2021 · Woodbury, Ny
• W••••••• C•••••• M••••••• L•• former
  May 23, 2017 to Jun 9, 2021 · W•••••••, Ct
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 5, 2009 to May 22, 2017 · Minneapolis, Mn
• A••••••••• A•••••• S•••••••• I••• unclassified
  Jul 9, 2003 to Oct 5, 2009 · Greenwich, Ct
• C•••••• L•• independent RIA
  Mar 28, 2003 to Jul 9, 2003 · Greenwich, Ct

• W••••••• C•••••• M••••••• L•• to V••••••••• A••••••• S•••••••
  left Jun 9, 2021, registered May 7, 2021 (-33 days) · RIA to affiliated broker-dealer or bank · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to W••••••• C•••••• M••••••• L••
  left May 22, 2017, registered May 23, 2017 (1 days) · Other
• A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
• C•••••• L•• to A••••••••• A•••••• S•••••••• I•••
  left Jul 9, 2003, registered Jul 9, 2003 (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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address