H•••••• C••••• M••••

• W•••• F•••• A••••••• wirehouse current
  since Nov 4, 2022 · New York, Ny
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 3, 2012 to Nov 15, 2022 · New York, Ny
• L••••• B••••••• I••• unclassified
  Oct 13, 2004 to Oct 2, 2008 · New York, Ny
• L••••• B••••••• I••• unclassified
  Sep 13, 2004 to Sep 17, 2004 · New York, Ny
• C••••• S••••• S••••••••• •••• L•• former
  Jan 17, 2003 to Oct 13, 2004 · New York, Ny
• P••••••• L•• unclassified
  Dec 11, 1997 to Jan 17, 2003 · New York, Ny

• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Nov 15, 2022, registered Nov 4, 2022 (-11 days) · Wirehouse to wirehouse · moved with a team
• L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••
  left Oct 2, 2008, registered Aug 3, 2012 (1401 days) · Other
• C••••• S••••• S••••••••• •••• L•• to L••••• B••••••• I•••
  left Oct 13, 2004, registered Sep 13, 2004 (-30 days) · Other
• P••••••• L•• to C••••• S••••• S••••••••• •••• L••
  left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move

• ••• Locked
  Nov 15, 2022 · Advisor changed firm · 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

Wirehousederived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address