RIA Intelligence

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Nov 22, 2019 · Boca Raton, Fl
• O••••••••• • C•• I••• BD affiliated
  May 1, 2014 to Dec 2, 2019 · Boca Raton, Fl
• N••• C••••••••• BD affiliated
  Oct 24, 2005 to Mar 20, 2014 · Boca Raton, Fl
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to May 24, 2005 · Boca Raton, Fl
• P••••••••• E••••• G••••• L•• unclassified
  Jul 10, 2000 to Jul 1, 2003 · Boca Raton, Fl

• O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••
  left Dec 2, 2019, registered Nov 22, 2019 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
• N••• C••••••••• to O••••••••• • C•• I•••
  left Mar 20, 2014, registered May 1, 2014 (42 days) · Other
• W•••• F•••• A••••••• to N••• C•••••••••
  left May 24, 2005, registered Oct 24, 2005 (153 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

National broker-dealer RIAderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address