RIA Intelligence

• K•• I••••••••• S••••••• L•• BD affiliated current
  since May 14, 2021 · Clifton Park, Ny
• L•• F•••••••• L•• BD affiliated
  May 15, 2012 to Sep 21, 2016 · Albany, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Oct 30, 2009 to May 15, 2012 · Albany, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Mar 25, 2008 to Oct 15, 2009 · Loudonville, Ny

• L•• F•••••••• L•• to K•• I••••••••• S••••••• L••
  left Sep 21, 2016, registered May 14, 2021 (1696 days) · Other · moved with a team
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••
  left Oct 15, 2009, registered Oct 30, 2009 (15 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address