RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 21, 2024 · Billerica, Ma
• I•••••••• C•••••• A••••••• former
  Nov 14, 2014 to Oct 3, 2016 · Billerica, Ma
• G•••• W••• F•••••••• G••••• I••• unclassified
  Feb 4, 2003 to Dec 31, 2007 · Chelmsford, Ma
• A••••• F•••••••• A•••••••• I••• unclassified
  Oct 22, 2002 to Nov 1, 2002 · Chelmsford, Ma
• C••••••• • C••• I••• former
  Oct 16, 2002 to Dec 2, 2014 · Billerica, Ma
• H•••••• T••••••• • K•••• L•• independent RIA
  Jan 1, 2002 to Nov 6, 2002 · Burlington, Ma

• I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••
  left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
• C••••••• • C••• I••• to A••••• F•••••••• A•••••••• I•••
  left Dec 2, 2014, registered Oct 22, 2002 (-4424 days) · Other
• G•••• W••• F•••••••• G••••• I••• to I•••••••• C•••••• A•••••••
  left Dec 31, 2007, registered Nov 14, 2014 (2510 days) · Other
• H•••••• T••••••• • K•••• L•• to C••••••• • C••• I•••
  left Nov 6, 2002, registered Oct 16, 2002 (-21 days) · Other
• A••••• F•••••••• A•••••••• I••• to G•••• W••• F•••••••• G••••• I•••
  left Nov 1, 2002, registered Feb 4, 2003 (95 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address