RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Apr 30, 2019 · Shelburne Falls, Ma
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  May 21, 2018 to Jan 4, 2019 · Greenfield, Ma
• M•• I•••••••• S•••••••• L•• BD affiliated
  Aug 22, 2013 to Dec 3, 2015 · Greeenfield, Ma
• A• G• E•••••• • S•••• I••• unclassified
  Nov 13, 2002 to Apr 25, 2003 · Brattleboro, Vt

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••
  left Jan 4, 2019, registered Apr 30, 2019 (116 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Dec 3, 2015, registered May 21, 2018 (900 days) · Other
• A• G• E•••••• • S•••• I••• to M•• I•••••••• S•••••••• L••
  left Apr 25, 2003, registered Aug 22, 2013 (3772 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