RIA Intelligence

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Mar 29, 2023 · Bonita Springs, Fl
• M•• F•••••••• S•••••••• I••• former
  Jan 2, 2015 to Mar 25, 2017 · Newburyport, Ma
• N•• E•••••• S••••••••• C••••••••• former
  Sep 13, 2007 to Jan 2, 2015 · Newburyport, Ma
• E•••••••• A•••••••• L•• national BD
  Jun 1, 2005 to Sep 14, 2007 · Newburyport, Ma
• M••• S••••••••• C••••••••• unclassified
  Feb 24, 2004 to Jun 1, 2005 · Newburyport, Ma
• 1•• G••••• A••••••• I•• former
  Nov 28, 1998 to Feb 13, 2004 · Newburyport, Ma

• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 29, 2023 (2195 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
  left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
  left Sep 14, 2007, registered Sep 13, 2007 (-1 days) · Other
• M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••
  left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
• 1•• G••••• A••••••• I•• to M••• S••••••••• C•••••••••
  left Feb 13, 2004, registered Feb 24, 2004 (11 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

44derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address