RIA Intelligence

• O•••• W•••••• I••• BD affiliated current
  since Jan 24, 2025 · Newport, De
• O•••• F•• I••• former
  Mar 11, 2019 to Jan 24, 2025 · Hockessin, De
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Feb 12, 2019 · Hockessin, De
• M•• F•••••••• S•••••••• I••• former
  Jan 2, 2015 to Mar 25, 2017 · Montchanin, De
• N•• E•••••• S••••••••• C••••••••• former
  Jun 21, 2002 to Jan 2, 2015 · Newtown Square, Pa

• O•••• F•• I••• to O•••• W•••••• I•••
  left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to O•••• F•• I•••
  left Feb 12, 2019, registered Mar 11, 2019 (27 days) · Affiliated broker-dealer or bank to another
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
  left Jan 2, 2015, registered Jan 2, 2015 (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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address