RIA Intelligence

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Rockville, Md
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Sep 15, 2015 to Jul 13, 2018 · Alexandria, Va
• E•••• S••••••••• L•• BD affiliated
  Dec 18, 2013 to Aug 14, 2015 · Vienna, Va
• E•••• S••••••••• L•• BD affiliated
  Oct 7, 2010 to Oct 26, 2011 · New Y•••, Ny
• N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
  Jun 17, 2004 to Oct 7, 2010 · Parsippany, Nj

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• E•••• S••••••••• L•• to S•••••••• A••••••• L••
  left Aug 14, 2015, registered Sep 15, 2015 (32 days) · Other
• N•• Y••• L••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••
  left Oct 7, 2010, registered Oct 7, 2010 (0 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

National broker-dealer RIAderived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address