RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 21, 2024 · Bozeman, Mt
• I•••••••• C•••••• A••••••• former
  Oct 29, 2013 to Oct 3, 2016 · Lynnfield, Ma
• O•••• F•• I••• former
  Dec 12, 2003 to Nov 14, 2013 · Waltham, Ma
• V••••••• I••••••••• A•••••••• I••• unclassified
  Mar 25, 2003 to Dec 9, 2003 · Waltham, Ma
• 1••• C•••••• M••••••••• C•••••• unclassified
  Nov 7, 1999 to Jan 28, 2003 · Newton, 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
• O•••• F•• I••• to I•••••••• C•••••• A•••••••
  left Nov 14, 2013, registered Oct 29, 2013 (-16 days) · Other
• V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••
  left Dec 9, 2003, registered Dec 12, 2003 (3 days) · Other
• 1••• C•••••• M••••••••• C•••••• to V••••••• I••••••••• A•••••••• I•••
  left Jan 28, 2003, registered Mar 25, 2003 (56 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