RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 10, 2022 · Warren, Nj
• C••••• A•••••• N••••••• L•• former
  May 20, 2021 to May 5, 2022 · Warren, Nj
• S••••• F•••••••• G•••• I•• former
  Jul 31, 2009 to May 20, 2021 · Morristown, Nj
• W•••• F•••• A••••••• wirehouse
  Oct 29, 2003 to Aug 5, 2009 · Jersey City, Nj

• C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
  left May 5, 2022, registered May 10, 2022 (5 days) · Affiliated broker-dealer or bank to independent RIA
• S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
  left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move
• W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••
  left Aug 5, 2009, registered Jul 31, 2009 (-5 days) · Other

• H••••• M• P•••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2022-05-10)
  May 5, 2022 · a•••••• firm change · fact

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