RIA Intelligence

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Feb 12, 2016 · Newton Lower Falls, Ma
• H•••••• T••••••• • K•••• L•• independent RIA
  Sep 26, 2007 to Apr 11, 2012 · Wilmington, Ma
• T•• A••••••• G••••• I••• unclassified
  Apr 3, 2002 to Dec 17, 2003 · Rockland, Ma

• H•••••• T••••••• • K•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Apr 11, 2012, registered Feb 12, 2016 (1402 days) · Other
• T•• A••••••• G••••• I••• to H•••••• T••••••• • K•••• L••
  left Dec 17, 2003, registered Sep 26, 2007 (1379 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address